Former Greenwich, Connecticut financial advisor Andrew Mack (CRD# 5932062) was recently sanctioned and suspended in connection with alleged rule violations....
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Daniel Diaz: Phoenix Advisor Faces Suitability Complaint
New York City financial advisor Daniel Diaz (CRD# 6871968) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with PHX Financial, also known as Phoenix Financial, having previously been registered with National Securities Corporation.
Will Lawes: Investor Complaint Against Ex-Morgan Stanley Advisor
Austin, Texas financial advisor Will Lawes (CRD# 6170991) 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 and an investment advisor with UBS Financial Services, having previously been registered with Morgan Stanley.
Jonathan Gazdak: Alexander Capital Advisor Lands $1.6mm Complaint
A recent investor complaint against Red Bank, New Jersey financial advisor Jonathan Gazdak (CRD# 5678294) alleges that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Alexander Capital.
Marco Oreamuno: $140K Complaint Against Bolton Advisor
Miami, Florida financial advisor Marco Oreamuno (CRD# 4903418) allegedly made unauthorized transactions, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Bolton Global Capital, having previously been registered with Morgan Stanley.
Juan Dibildox: Morgan Stanley Advisor Faces Investor Complaint
Miami, Florida financial advisor Juan Dibildox (CRD# 4447582) recently received an investor complaint alleging that his advice resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Morgan Stanley.
Doug Charney: $100K Complaint Against Prospera Advisor
A recent investor complaint against Harrisburg, Pennsylvania financial advisor Doug Charney (CRD# 1838995) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Prospera Financial Services.
Mark Kemp: McNally Advisor Sanctioned over Reverse Convertibles
A recent sanction against Corpus Christi, Texas financial advisor Mark Kemp (CRD# 2057200) alleged that he engaged in inequitable sales practices when selling reverse convertible notes to elderly investors. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with McNally Financial Services, doing business as Kemp… Read More »
Jonathan Upton: LPL Advisor Faces $250K REIT Complaint
Multiple investor complaints against Louisville, Kentucky financial advisor Jonathan Upton (CRD# 4559794) allege that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker with LPL Financial and an investment advisor with Keystone Financial Group.
Joy Simar: $203K Complaint Against LPL/Pruco Advisor
McKinney, Texas financial advisor Joy Simar (CRD# 6147731) recently received an investor complaint alleging that her conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with LPL, which recently launched a strategic partnership with Prudential.
Dan Schmid: Why Did Advisor Resign from Northwestern Mutual?
Minneapolis, Minnesota financial advisor Dan Schmid (CRD# 6658306) recently resigned from Northwestern Mutual Investment Services in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is now registered as a broker with Equitable Advisors.
