Former Greenwich, Connecticut financial advisor Andrew Mack (CRD# 5932062) was recently sanctioned and suspended in connection with alleged rule violations....
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Victor Torres: $150K Complaint Against Equitable Advisor
Fort Lauderdale, Florida financial advisor Victor Torres (CRD# 5919902) has received multiple investor complaints alleging that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker with Equitable Advisors.
Trey Brown: Northwestern Mutual Advisor Faces Complaint
Frisco, Texas financial advisor Trey Brown (CRD# 6170291) recently received an investor complaint alleging that his advice resulted in damages exceeding $100,000. Financial Industry Regulatory Authority records show that he is registered as a broker with Northwestern Mutual Investment Services.
Russ Fieger: $325K Complaint Against Ex-Crown Capital Advisor
Overland Park, Kansas financial advisor Russ Fieger (CRD# 4122326) recently received an investor complaint alleging that he recommended an unsuitable alternative investment. Financial Industry Regulatory Authority records show that he is registered as a broker with Colorado Financial Service Corporation and an investment advisor with Cornerstone Securities.
Wes McKnight: $220K GWG Complaint Against Level Four Advisor
A recent investor complaint against Nacogdoches, Texas financial advisor Wes McKnight (CRD# 2522904) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker with Level Four Financial and the owner of McKnight Financial.
Larry Peregrine: Did Cambridge Advisor Misappropriate Funds?
Garden Grove, California financial advisor Larry Peregrine (CRD# 1545146) allegedly misappropriated investor funds, according to a denied investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Cambridge Investment Research, doing business as Peregrine Planning.
Kenper Miller: Options Complaint Against Morgan Stanley Advisor
Rochester, New York financial advisor Kenper Miller (CRD# 840784) recently received an investor complaint alleging that his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Morgan Stanley.
Stacie Kirkland: Morgan Stanley Advisor Faces Suitability Complaint
A recent investor complaint against Tuscaloosa, Alabama financial advisor Stacie Kirkland (CRD# 7161803) alleges that she made unsuitable recommendations. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Morgan Stanley.
Adam Brunin: $210K Complaint Against Navigation Wealth Advisor
A recent investor complaint against Fort Collins, Colorado financial advisor Adam Brunin (CRD# 4407663) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Sigma Financial broker is registered as an investment advisor with Navigation Wealth Management.
Jeff Bailey: FINRA Investigates Bailey & Company Advisor
Brentwood, Tennessee financial advisor Jeff Bailey (CRD# 3171436) is under investigation in connection with an alleged failure to disclose private securities transactions. Financial Industry Regulatory Authority records show that he is registered as a broker with Bailey & Company, having previously been registered with Stillpoint Capital.
Curt Stauffer: Seven Summits Advisor Lands $212K Complaint
Lancaster, Pennsylvania financial advisor Curt Stauffer (CRD# 2615431) recently received an investor complaint alleging that he recommended unsuitable investments. Securities and Exchange Commission records show that he is an investment advisor registered with CS Planning and a managing member of Seven Summits Capital.
