Milwaukee, Wisconsin financial advisor Kirk Thode (CRD# 5138682) resigned from his former member firm in connection with alleged misconduct. Financial...
Read MoreCategory Archives: Uncategorized
Tabrenia Davidson: Suitability Complaint Against Wells Fargo Advisor
Louisville, Colorado financial advisor Tabrenia Davidson (CRD# 3048752) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Wells Fargo.
Christopher Vargas: Atlas Benefits Advisor Faced Annuity Complaint
A recent, denied investor complaint against Hauppage, New York financial advisor Christopher Vargas (CRD# 4878537) alleged that his advice resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Equity Services and an investment advisor with ESI Financial Advisors, doing business as Atlas Benefits Advisor and Teachers… Read More »
Curtis Sathre: $754K Complaint Against Ex-JRL Capital Advisor
A recent investor complaint against Oceanside, California financial advisor Curtis Sathre (CRD# 2459115) alleges that his advice resulted in damages exceeding $700,000. Financial Industry Regulatory Authority records show that he is registered as a broker with Quincy Wells Capital and an investment advisor with Quincy Wells Advisors.
Rob Pecha: $1.2mm Complaint Against Ex-Great Point Advisor
Chicago, Illinois financial advisor Rob Pecha (CRD# 5579770) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Quincy Wells Capital, having previously been registered with Great Point Capital.
Jonathan Keller: $250K Complaint Against 1031 Solutions Advisor
Recent investor complaints against Atlanta, Georgia financial advisor Jonathan Keller (CRD# 4344114) allege that his advice resulted in six-figure damages. 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 1031 Solutions.
Steve Giannantonio: Suitability Complaint Against Aegis Advisor
Recent investor complaints against New York City financial advisor Steve Giannantonio (CRD# 2309181) allege that his advice resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Aegis Capital.
Ronan Cox: Ex-Morgan Stanley Advisor Received Complaint
New York City financial advisor Ronan Cox (CRD# 2693480) allegedly recommended an unsuitable investment, according to a recent, denied investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Arete Wealth Management and an investment advisor with Arete Wealth Advisors, doing business as Fincadia.
Michael Barrows: $250K GWG Complaint Against Ex-Chalice Advisor
A recent investor complaint against Charlotte, North Carolina financial advisor Michael Barrows (CRD# 2933260) alleged that he recommended unsuitable GWG L Bond investments. Financial Industry Regulatory Authority records show that he is registered as a broker with Innovation Partners and an investment advisor with IP Financial Advisory Services.
Jim Groves: $1.5mm Complaint Against Raleigh Capital Advisor
Cary, North Carolina financial advisor Jim Groves (CRD# 1657245) recently received an investor complaint alleging that his conduct resulted in damages exceeding $1 million. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former PNC Investments broker is currently registered as an investment advisor with Raleigh Capital Management, doing business… Read More »
Scott Offerman: Ex-TCFG Advisor Faces 7-Figure Complaint
New York City financial advisor Scott Offerman (CRD# 4619093) allegedly recommended unsuitable Delaware Statutory Trust (DST) investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with 1031 Securities, doing business as 1031 Financial.
