Neenah, Wisconsin financial advisor Stephen Spence (CRD# 2409165) was recently fired by his former member firm in connection with alleged...
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Amit Urban: $475K Complaint Against Fortitude Advisor
A recent investor complaint against Ann Arbor, Maryland financial advisor Amit Urban (CRD# 6855682) alleges that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Concorde Investment Services, doing business as Fortitude Investment Group.
Joseph Lenderman: Equitable Advisor Faced Denied Complaint
A recent, denied investor complaint against Fort Worth, Texas financial advisor Joseph Lenderman (CRD# 7128657) alleged that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Equitable Advisors.
Nick Olivas: Why Did LPL Fire Prospera, Bregma Advisor?
Irvine, California financial advisor Nick Olivas (CRD# 6803146) was recently terminated from his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former LPL Financial representative is registered as a broker and an investment advisor with Prospera Financial Services, doing business as Bregma Private Wealth.
Michael Bird: Everest Retirement Advisor Faces Complaint
Fort Mill, South Carolina financial advisor Michael Bird (CRD# 5100115) 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 Cambridge Investment Research, doing business as Everest Retirement.
Connor Green: Joseph Gunnar Advisor Lands Investor Complaint
A recent investor complaint against Uniondale, New York financial advisor Connor Green (CRD# 7448002) alleges that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Joseph Gunnar & Company.
Dominic Meyers: $300K REIT Complaint Against Cetera Advisor
San Diego, California financial advisor Dominic Meyers (CRD# 5107939) allegedly recommended an unsuitable investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Cetera Wealth Services and an investment advisor with Cetera Investment Advisers, doing business as Lincoln Capital.
Jason Min: NYLife Advisor Faces Annuity Complaint
La Cañada Flintridge, California financial advisor Jason Min (CRD# 3220191) 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 NYLife Securities and an investment advisor with Eagle Strategies.
Roger Barnett: $250K REIT Complaint Against LPL Advisor
A recent investor complaint against Brentwood, Tennessee financial advisor Roger Barnett (CRD# 1209301) alleges that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with LPL Financial.
Ron York: DST Complaint Against Arkadios Advisor
Wall, New Jersey financial advisor Ron York (CRD# 4308987) allegedly recommended an unsuitable investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Arkadios Capital and an investment advisor with Arkadios Wealth Advisors, doing business as Foresight Financial Partners.
Lisa Grosskopf: $450K Complaint Against Peak Brokerage Advisor
Burbank, California financial advisor Lisa Grosskopf (CRD# 3213930) recently received an investor complaint alleging that she recommended unsuitable investments. Financial Industry Regulatory Authority records show that she is registered as a broker with Peak Brokerage Services, having previously been registered with Gold Coast Securities.
