Melville, New York financial advisor Ken Kohn (CRD# 1575332) recently received an investor complaint alleging that he made unsuitable investment...
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Steven Goethel: Misrepresentation Complaint Against Merrill Advisor
Jupiter, Florida financial advisor Steven Goethel (CRD# 5861475) allegedly made material misrepresentations about investments he recommended, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch.
Mark Yadron: $200K Complaint Against Kestra Advisor
Prescott, Arizona financial advisor Mark Yadron (CRD# 1520648) 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 Kestra Investment Services, doing business as American Wealth Management.
Andy Martz: $50K Bond Complaint Against LPL Advisor
Southlake, Texas financial advisor Andy Martz (CRD# 5118326) allegedly recommended an investment that was not in his client’s best interest, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, doing business as WIS Advisors.
Craig Fernsler: McDermott Advisor Lands $300K DST Complaint
Naples, Florida financial advisor Craig Fernsler (CRD# 5558907) recently received an investor complaint alleging that a Delaware Statutory Trust investment resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker with McDermott Investment Services.
Andrew Spaventa: SEC Investigates TSG Advisor
Ronkonkoma, New York financial advisor Andrew Spaventa (CRD# 6175466) is under investigation by the Securities and Exchange Commission for alleged misconduct. Financial Industry Regulatory Authority records show that he is registered as a broker with TSG Capital Advisors and an investment advisor with TSG Alpha Partners.
Troy Thomas: $400K DST Complaint Against McDermott Advisor
A recent investor complaint against Huntington Beach, California financial advisor Troy Thomas (CRD# 4691720) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with McDermott Investment Services.
John Noonan: Merrill Advisor Receives Misappropriation Complaint
Virginia Beach, Virginia financial advisor John Noonan (CRD# 4425914) allegedly misappropriated funds, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch.
Ronny Banerjee: Why Was Chelsea Advisor Fired by Voya?
Staten Island, New York financial advisor Ronny Banerjee (CRD# 3112832) was recently fired by his prior member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Voya Financial Advisors representative is currently registered as a broker with Chelsea Financial Services.
Matt Calhoun: $83K Complaint Against Ex-Cambridge Advisor
Columbus, Ohio financial advisor Matt Calhoun (CRD# 4425914) 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 with Osaic Wealth and an investment advisor with Signature Equity Partners, having previously been registered with Cambridge Investment Research.
Ray Chera: Ex-Osaic, Woodbury Advisor Faces Complaint
Brooklyn, New York financial advisor Ray Chera (CRD# 5829380) 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 Wells Fargo Advisors, having previously been registered with Osaic Wealth and Woodbury Financial Services.
