Former Greenwich, Connecticut financial advisor Andrew Mack (CRD# 5932062) was recently sanctioned and suspended in connection with alleged rule violations....
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Steven McCormick: FINRA Bars Osaic Advisor
Simi Valley, California financial advisor Steven McCormick (CRD# 5059233) was recently barred by FINRA in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor Osaic Wealth, having previously been registered with Woodbury Financial Services. A Letter of Acceptance, Waiver, and Consent… Read More »
Ken Judd: FINRA Bars Former Valkyrie Equities Advisor
Former Farmers Branch, Texas financial advisor Ken Judd (CRD# 7110607) has been sanctioned in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was formerly registered as a broker with Valkyrie Equities Corporation.
Tommy Bolton: $269K Annuity Complaint Against Stifel Advisor
Fayetteville, North Carolina financial advisor Tommy Bolton (CRD# 1398115) recently received an investor complaint alleging that his advice resulted in damages exceeding $200,000. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Stifel Nicolaus & Company.
Alain Ohayon: Did Aegis Advisor Breach Fiduciary Duty?
Melville, New York financial advisor Alain Ohayon (CRD# 1180975) recently received an investor complaint alleging that he breached his fiduciary duty and recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker with Aegis Capital.
Robert Crothers: Osaic Advisor Faces Suitability Complaint
Holbrook, New York financial advisor Robert Crothers (CRD# 1648677) 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 Osaic Wealth, having previously been registered with American Portfolios Financial Services.
Shannan Denison: $200K Complaint Against IAA Advisor
An investor complaint against Grand Rapids, Michigan financial advisor Shannan Denison (CRD# 4417573) alleges that her advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that she is registered as a broker with International Assets Advisory and an advisor with International Assets Investment Management, doing business as Denison Financial.
Victoria Bogner: $210K Complaint Against Allworth Advisor
Lawrence, Kansas financial advisor Victoria Bogner (CRD# 5048328) allegedly recommended unsuitable BDC investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is registered as a broker with AW Securities and an investment advisor with Allworth Financial.
Joel Barjenbruch: JS Financial Advsior Lands $250K Complaint
Omaha and Lincoln, Nebraska financial advisor Joel Barjenbruch (CRD# 5295640) recently received an investor complaint alleging that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Pruco Securities. He is also a representative of JS Financial.
Wrenn Cox: Ameriprise Advisor Faces $175K Complaint
Mechanicsville, Virginia financial advisor Wrenn Cox (CRD# 5802626) recently received an investor complaint alleging 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 Ameriprise Financial Services.
Ashish Chowdhry: $1mm Complaint Against MML Advisor
New York City financial advisor Ashish Chowdhry (CRD# 3249567) recently received an investor complaint alleging that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with MML Investors Services, also known as MassMutual.
