Indianapolis, Indiana financial advisor J. Keith Stucker (CRD# 1094241) allegedly churned investments, according to a recent, denied investor complaint. Financial...
Read MoreCategory Archives: Uncategorized
Shubert Cineus: Simplicity Advisor Fired by Hornor Townsend & Kent
West Palm Beach, Florida financial advisor Shubert Cineus (CRD# 6736413) was terminated froma former employer in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Hornor Townsend & Kent broker is currently registered as an investment advisor with Simplicity Wealth and the managing director… Read More »
Beverly Connelly: Merrill Advisor Landed Complaints
Saint Paul, Minnesota financial advisor Beverly Connelly (CRD# 4576624) has received multiple investor complaints. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Merrill Lynch, having previously been registered with Wells Fargo Advisors.
Douglas Licari: $200K Complaint Against MassMutual Advisor
East Hills, New York financial advisor Douglas Licari (CRD# 1081503) allegedly recommended investments that resulted in losses, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with MassMutual.
Dax Weindorf: Lighthouse, Ex-Equitable Advisor Lands $95K Complaint
Summit, New Jersey financial advisor Dax Weindorf (CRD# 5461216) recently received an investor complaint alleging that he recommended unsuitable REITs. Financial Industry Regulatory Authority records show that he is registered as a broker with The Leaders Group and an investment advisor with Waterloo Capital, doing business as Lighthouse Financial.
Jeff Rocca & Steven Shemirani: UBS Advisors Face Complaint
A recent investor complaint alleges that Rochester, New York financial advisors Jeff Rocca (CRD# 4763563) and Steven Shemirani (CRD# 1776455) alleges that they recommended an unsuitable investment strategy to an elderly investor. Financial Industry Regulatory Authority records show that they are each registered as a broker and an investment advisor with UBS Financial Services.
Youssef Zohny: $4.5mm Complaint Against Morgan Stanley Advisor
A recent investor complaint against San Francisco financial advisor Youssef Zohny (CRD# 6759406) alleges 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 Morgan Stanley.
Will Olinger: $1mm Complaint Against Koss Olinger Advisor
Gainesville, Florida financial advisor Will Olinger (CRD# 2289684) recently received an investor complaint alleging that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Valmark Securities broker is currently registered as an investment advisor with Koss Olinger Consulting.
Mohammed Salim: FINRA Bars Ex-Morgan Stanley Broker
Former New York City financial advisor Mohammed Salim (CRD# 7126671) was recently sanctioned and barred in connection with allegedly unauthorized sales. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Morgan Stanley, having previously been registered with Charles Schwab & Company.
Don Everhart: Ex-Whitehall-Parker Advisor Suspended; GWG Sales
Former Dixon, California financial advisor Don Everhart (CRD# 2150508) allegedly recommended an unsuitable investment in GWG L bonds, according to a disciplinary action against him. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Emerson Equity, having previously been registered with Whitehall-Parker Securities.
Lilly Han: $180K Complaint Against TKC Wealth Advisor
Dallas, Texas financial advisor Lilly Han (CRD# 6781075) allegedly misrepresented private placements, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is registered as a broker with Landolt Securities and an investment advisor with TKC Wealth Management.
