Former Arden Hills, Minnesota financial advisor Nicholas Stovall (CRD# 5581487) was recently sanctioned and barred in connection with allegations that...
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Bob Daly: FINRA Investigates Ex-Morgan Stanley Advisor
Former Los Angeles financial advisor Bob Daly (CRD# 3111426) was recently sanctioned by FINRA in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker and an investment advisor with Xtellus Capital Partners, having previously been registered with Morgan Stanley.
Robert Vance: SEC Charges Ex-Moloney Advisor Over GWG Sales
Former Sonora, California financial advisor Robert Vance (CRD# 1887560) allegedly sold unsuitable GWG L bonds, according to a recent civil complaint by the Securities and Exchange Commission. Financial Industry Regulatory Authority records show that the former Moloney Securities representative is not currently registered as a broker or an investment advisor. Mr. Vance’s BrokerCheck report… Read More »
Laura Barnes: Moloney Advisor Fined over GWG Sales
A recent Securities and Exchange Commission action against Winterset, Iowa financial advisor Laura Barnes (CRD# 4482198) alleged that she recommended unsuitable investments in GWG L bonds. Financial Industry Regulatory Authority records show that she is registered as a broker with Moloney Securities.
David La Grange: Moloney Advisor’s GWG Sales Lead to SEC Fine
Winterset, Iowa financial advisor David La Grange (CRD# 4200976) allegedly sold unsuitable investments in GWG L bonds, according to a recent order by the Securities and Exchange Commission. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Moloney Securities.
Sean Ash: Maxim Advisor Faces $300K Complaint
A recent investor complaint against Fort Lauderdale, Florida financial advisor Sean Ash (CRD# 5567379) alleges that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Maxim Group and Maxim Financial Advisors, respectively.
Jesus Quezada: $100K Complaint Against Ex-Crown Capital Advisor
Alhambra, California financial advisor Jesus Quezada (CRD# 5117930) allegedly recommended unsuitable alternative investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Alexander Capital.
George Amanatides: David Lerner Advisor Lands Energy 11/12 Complaint
Syosset, New York financial advisor George Amanatides (CRD# 4611464) recently received an investor complaint alleging that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker with David Lerner Associates.
Ignacio Tejera: $500K Northstar Complaint Against Truist Advisor
Coral Gables, Florida financial advisor Ignacio Tejera (CRD# 4422696) recently received an investor complaint in connection with an investment in Northstar. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Truist Investment Services and Truist Advisory Services, respectively.
Hector Crespo: Complaint Against Aegis Advisor Settles for $335K
Recent investor complaints against Melville, New York financial advisor Hector Crespo (CRD# 3015246) allege that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Aegis Capital Corp.
Chris Brothers: Maxim Group Advisor Faces $1 Million Complaint
Fort Lauderdale, Florida financial advisor Chris Brothers (CRD# 2186156) allegedly recommended unsuitable investments, according to recent investor complaints. Financial Industry Regulatory Authority records show that he is registered as a broker with Maxim Group. Mr. Brothers’ BrokerCheck report discloses four investor complaints. The most recent, filed in July 2024, alleges that as a representative… Read More »
