Former Melville, New York financial advisor Brian Court (CRD# 2591547) has been sanctioned and suspended in connection with alleged rule...
Read MoreCategory Archives: Uncategorized
William & Jonathan Harvey: Janney Advisors Land 6-Figure Complaint
Doylestown, Pennsylvania financial advisor William Harvey (CRD# 2398782) and Jonathan Harvey (CRD# 4558464) recently received an investor complaint alleging that they recommended unsuitable investments. Financial Industry Regulatory Authority records show that each is registered as a broker and an investment advisor with Janney Montgomery Scott.
Nolan Pendleton & Ben Yim: Generational Advisors Face $115K Complaint
Georgia financial advisor Nolan Pendleton (CRD# 5350768) and Ben Yim (CRD# 5835533) recently received an investor complaint that settled for more than $100,000. Financial Industry Regulatory Authority records show that they are both registered with NYLife Securities, doing business as Generational Financial Partners.
Ira Bauman: Raymond James Advisor Receives $220K Complaint
New York City financial advisor Ira Bauman (CRD# 1079115) 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 Raymond James & Associates, whose website shows that he is a representative of the practice… Read More »
Scott Sheehan: DFPG Advisor Lands $475K Complaint
A recent investor complaint against Cornwall-on-Hudson, New York financial advisor Scott Sheehan (CRD# 2328614) alleges that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with DFPG Investments, and that he is the Managing Partner of 1031 Investment Services.
Mark Carter: $500K Complaint Against Ex-Pruco Advisor
Former Charlotte, North Carolina financial advisor Mark Carter (CRD# 6387371) allegedly made unauthorized trades, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he was registered as a broker with Pruco Securities, doing business as Carter Financial Group, until he resigned from the firm in connection with alleged rule violations.
Louis Wargo: Osaic Advisor Receives $137K Complaint
Brecksville, Ohio financial advisor Louis Wargo (CRD# 1416101) has received multiple investor complaints alleging that he recommended unsuitable alternative investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Osaic Wealth.
Rosaline Alam: FINRA Bars Former Pruco Advisor
Former Claremont, California financial advisor Rosaline Alam (CRD# 5742202) was recently barred in connection with alleged rule violations. Financial Industry Regulatory Authority records show that she was most recently registered as a broker with Lincoln Investment, having previously been registered with Pruco Securities.
Tom Moran: $1 Million Complaint Against Wells Fargo Advisor
A recent investor complaint against Naples, Florida financial advisor Tom Moran (CRD# 709062) alleges that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Wells Fargo broker is currently registered as an investment advisor with Moran Wealth Management.
Craig Bonn: Harley Capital Advisor Faces $500K Complaint
Westport, Connecticut financial advisor Craig Bonn (CRD# 2280460) allegedly committed sales practice violations, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker registered with The Harley Capital, having previously been registered with National Securities Corporation.
Jayson Decandia: MassMutual Denies $100K Complaint Against Advisor
Fairfield, New Jersey financial advisor Jayson Decandia (CRD# 5090632) recently received an investor complaint alleging that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with MML Investors Services, or MassMutual.
