Milwaukee, Wisconsin financial advisor Kirk Thode (CRD# 5138682) resigned from his former member firm in connection with alleged misconduct. Financial...
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Allen Stevens: Stifel Advisor Received $200K Complaint
A recent, denied investor complaint against Denver, Colorado financial advisor Allen Stevens (CRD# 1804469) alleged 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 Stifel Nicolaus & Company.
Alex Rabinovich: $3mm Complaint Against Forge Securities Advisor
A recent investor complaint against San Francisco, California financial advisor Alex Rabinovich (CRD# 7065371) alleges that his investment advice resulted in damages of more than $3 million. Financial Industry Regulatory Authority records show that he is registered as a broker with Forge Securities.
Bob Anderson: $2.4mm Complaint Against Penbrook Advisor
New York City financial advisor Bob Anderson (CRD# 5516) recently received an investor complaint alleging that his conduct resulted in damages exceeding $2 million. Financial Industry Regulatory Authority records show that he is registered as a broker with Beech Hill Securities and an investment advisor with Penbrook Management.
Roger Ingwerson: $565K Complaint Against Ex-Harvest Group Advisor
Waltham, Massachusetts financial advisor Roger Ingwerson (CRD# 255050) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with AW Securities and an investment advisor with Allworth Financial.
Nicolas Longpre: $750K Complaint Against Wealth Trading Advisor
A recent investor complaint against Honolulu financial advisor Nicolas Longpre (CRD# 4791561) alleges 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 Cambridge Investment Research, doing business as Wealth Trading Partners.
Michael Siek: Suitability Complaint Against Ex-Aegis Advisor
Recent investor complaints against New York City financial advisor Michael Siek (CRD# 2072767) allege that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker with Dominari Securities, having previously been registered with Aegis Capital.
Milka Micic: $10mm Complaint Against JP Morgan Advisor
A recent investor complaint against Chicago, Illinois financial advisor Milka Micic (CRD# 4929945) alleges that her conduct resulted in eight-figure damages. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with JP Morgan Securities.
Rajesh Markan: SEC Alleged Misappropriation by Ex-Merrill Advisor
Former Dallas, Texas financial advisor Rajesh Markan (CRD# 4553309) allegedly misappropriated customer funds, according to a judgment issued by the Securities and Exchange Commission. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Hilltop Securities and Merrill Lynch.
Louis Pepe: Suitability Complaint Against Capitol Securities Advisor
Melville, New York financial advisor Louis Pepe (CRD# 4651571) allegedly made excessive trades, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Capitol Securities Management.
Mary Duffman: Merrill Advisor Faces Unauthorized Trading Complaint
Raleigh, North Carolina financial advisor Mary Duffman (CRD# 4651571) recently received an investor complaint alleging that her conduct resulted in damages. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Merrill Lynch.
