Former San Antonio, Texas financial advisor Ron Botello (CRD# 4809045) was recently sanctioned and suspended in connection with alleged rule...
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Lisa Grosskopf: $450K Complaint Against Peak Brokerage Advisor
Burbank, California financial advisor Lisa Grosskopf (CRD# 3213930) recently received an investor complaint alleging that she recommended unsuitable investments. Financial Industry Regulatory Authority records show that she is registered as a broker with Peak Brokerage Services, having previously been registered with Gold Coast Securities.
Carlson Law Representing Clients of Kirk Badii and Independent Financial Group
Carlson Law, P.A. is representing clients of Kirk Badii, a Southlake, Texas financial advisor (CRD# 5829768) licensed with Independent Financial Group, doing business as Badii Financial Group. According to an arbitration filed by Carlson Law in October of this year, “Badii recklessly employed excessive leverage by taking out a loan against Claimant’s portfolio, amplifying… Read More »
John Lowry & Kim Monchik: Spartan Advisors Face Atlas Funds Complaint
New York City financial advisors John Lowry (CRD# 4336146) and Kim Monchik (CRD# 2528972) have been named in a regulatory complaint concerning the sale of membership interests in unregistered private funds. Financial Industry Regulatory Authority records show that each is registered as a broker with Spartan Capital Securities.
Jim Holmes: FINRA Suspends Fired Wells Fargo Advisor
Winston Salem, North Carolina financial advisor Jim Holmes (CRD# 2174697) was recently sanctioned and suspended in connection with alleged rule violations. 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 THREE Magnolias Financial Advisors.
Jason Juhl: $98K Complaint Against Carson Wealth Advisor
A recent investor complaint against West Des Moines, Iowa financial advisor Jason Juhl (CRD# 5775449) alleges that his advice resulted in losses. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Cetera Advisor Networks broker is currently registered as an investment advisor with Carson Wealth.
Tim Roberson: Stifel, Ex-Merrill Advisor Lands Complaint
Brentwood, Tennessee financial advisor Tim Roberson (CRD# 2200567) has received multiple investor complaints 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 Stifel Nicolaus, having previously been registered with Merrill Lynch.
Berkely Arrants: Why Did Savvy Advisor Resign from Leaders Group?
Houston, Texas financial advisor Berkely Arrants (CRD# 4692327) recently resigned from her member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that she is registered as a broker with The Leaders Group and an investment advisor with Savvy, and that she is the founder of Horizon Advisory Group.
Gary Datta: $258K Complaint Against Ex-Edward Jones Advisor
Coppell, Texas financial advisor Gary Datta (CRD# 6060441) allegedly made unauthorized trades, 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 Advisors, having previously been registered with Edward Jones.
Ed Villanyi: $100K Complaint Against Stifel Advisor
Indianapolis, Indiana financial advisor Ed Villanyi (CRD# 2348401) 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, having previously been registered with Merrill Lynch.
Christopher Norton: $99K Complaint Against Ex-Aegis Advisor
A recent investor complaint against Irvine, California financial advisor Christopher Norton (CRD# 5386000) alleges that he recommended an unsuitable investment. Financial Industry Regulatory Authority records show that he is registered as a broker with Boustead Securities and an investment advisor with Sutter Securities, having previously been registered with Aegis Capital.
