A recent investor complaint against Broadview Heights, Ohio financial advisor Richard Ganim (CRD# 2447068) alleges that he violated Regulation Best...
Read MoreCategory Archives: Uncategorized
Joe Doggett: JCD Investments Advisor Faces Elder Abuse Complaint
Columbus, Indiana financial advisor Joe Doggett (CRD# 1033987) has received multiple investor complaints 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 Money Concepts Capital Corporation and Money Concepts Advisory Service, respectively, doing business as JCD Investments.
Gary Madrid: GWG Complaint Against WestPark Advisor
Irvine, California financial advisor Gary Madrid (CRD# 1934700) recently received an investor complaint relating to a GWG L Bond investment. Financial Industry Regulatory Authority records show that he is registered as a broker with WestPark Capital, having previously been registered with Newport Coast Securities.
Ford Keeler: $210K Complaint Against Western Financial Advisor
Grand Junction, Colorado financial advisor Ford Keeler (CRD# 1696709) 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 LPL Financial, doing business as Western Financial Advisors.
Eddie Williams: $50K Complaint Against LifeMark Advisor
A recent investor complaint against Southfield, Michigan financial advisor Eddie Williams (CRD# 2239318) alleges that he recommended an unsuitable investment. Financial Industry Regulatory Authority records show that he is registered as a broker with LifeMark Securities Corporation.
Bill Tunink: $130K Complaint Against Tunink Murray Advisor
UPDATE: Carlson Law is representing clients of Bill Tunink that loan money to him. We have also learned that Bill Tunink is no longer with LPL Financial. Furthermore, Tunink Murry Financial Group’s website now has the following disclosure on its main page: “WILLIAM TUNINK IS NO LONGER AFFILIATED WITH TUNINK MURRAY FINANICAL GROUP,” “WILLIAM… Read More »
John Stapleton: $200K Complaint Against Spartan Capital Advisor
Garden City, New York financial advisor John Stapleton (CRD# 2791194) allegedly made unauthorized and unsuitable trades, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Spartan Capital Securities.
Mike Morrison: $100K Complaint Against Morrison Financial Advisor
A recent investor complaint against Highland Village, Texas financial advisor Mike Morrison (CRD# 1730240) alleges that he misrepresented and recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Centaurus Financial, doing business as Morrison Financial.
Joe Barreca: $300K Complaint Against Wells Fargo Advisor
Metairie, Louisiana financial advisor Joe Barreca (CRD# 3276048) allegedly recommended unsuitable market-linked notes, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Wells Fargo, having previously been registered with First Horizon Advisors.
Adam Chustz: Stifel Advisor Lands $77K Complaint
Paducah, Kentucky financial advisor Adam Chustz (CRD# 4129813) 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 Stifel Nicolaus & Company.
Michael Taylor: LPL Advisor Resigned from Wells Fargo
Cincinnati, Ohio financial advisor Michael Taylor (CRD# 4319482) recently resigned from Wells Fargo in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is now registered as a broker and an investment advisor with LPL Financial, doing business as Mullins Taylor Wealth Management.
