A recent investor complaint against Broadview Heights, Ohio financial advisor Richard Ganim (CRD# 2447068) alleges that he violated Regulation Best...
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Thomas Windsor: $1mm Complaint Against Wells Fargo Advisor
Irvine, California financial advisor Thomas Windsor (CRD# 6671276) 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 Wells Fargo Clearing Services and Wells Fargo Advisors, respectively.
Harry Warnick: FINRA Bars Fired Spartan Capital Advisor
Former New York City financial advisor Harry Warnick (CRD# 6916323) was recently sanctioned and barred in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Spartan Capital Securities, having previously been registered with Benchmark Investments.
Aaron Hammer: Lone Peak Advisor Fired by Valmark Securities
St. Cloud, Minnesota financial advisor Aaron Hammer (CRD# 4803779) was recently terminated from a former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Valmark Securities representative is currently registered as a broker with Transitional Broker and an investment advisor with Lone Peak Advisers.
John Suess: $200K Complaint Against Stifel Advisor
Edwardsville, Illinois financial advisor John Suess (CRD# 1950146) 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 Stifel Nicolaus & Company.
Patrick Lam: Sherer Group Advisor Faces $1mm-$5mm Complaint
A recent investor complaint against Scottsdale, Arizona financial advisor Patrick Lam (CRD# 4723020) alleges that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Emerson Equity, doing business as Sherer Group.
Ranjeet Guptara: Suitability Complaint Against Ex-UBS Advisor
Melville, New York financial advisor Ranjeet Guptara (CRD# 7203719) allegedly recommended an unsuitable transaction, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and as an investment advisor with Aegis Capital Corporation.
Solomon Tobal: Ex-Morgan Stanley Advisor Lands Complaints
Hackensack, New Jersey financial advisor Solomon Tobal (CRD# 7643877) recently received an investor complaint alleging that his conduct resulted in losses. 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 Morgan Stanley
Thiel Ruperto: Utah Files Complaint Against Ex-Hedgehog Advisor
Gilbert, Arizona financial advisor Thiel Ruperto (CRD# 4530049) was recently named respondent in a complaint by the Utah Division of Securities. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former TransAmerica Financial Advisors broker is currently registered as an investment advisor with R3WC Capital, also known as R3 Wealth… Read More »
Zhi “Jeffrey” Guan: $1mm-$5mm Complaint Against Emerson Advisor
A recent investor complaint against San Mateo, California financial advisor Zhi Guan (CRD# 4010563), also known as Jeffrey Guan, alleges that he engaged in deceptive trade practices. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Emerson Equity, doing business as Cereus Investments.
Rodger Thomas: $500K Complaint Against Ex-SCF Securities Advisor
Boca Raton, Florida financial advisor Rodger Thomas (CRD# 4010563) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Newbridge, doing business as Shield Capital Advisory.
