Former Melville, New York financial advisor Brian Court (CRD# 2591547) has been sanctioned and suspended in connection with alleged rule...
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Lee Vaughan: Raymond James Fires COVA Wealth Advisor
Brentwood, Tennessee financial advisor Lee Vaughan (CRD# 3162268) was recently fired from Raymond James Financial Services in connection with alleged misconduct. Financial Industry Regulatory Authority records show that he is now registered as a broker and an investment advisor with LPL Financial, doing business as COVA Wealth Management.
Tony Szymborski NettWorth Advisor Received $211K Complaint
A recent, denied investor complaint against Wauwatosa, Wisconsin financial advisor Tony Szymborski (CRD# 4131253) alleged that his advice resulted in damages exceeding $200,000. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Cambridge Investment Research, doing business as NettWorth Financial Group.
Ashley Woodard: $999K Complaint Against Ex-Voya Advisor
Former Greenville, South Carolina financial advisor Ashley Woodard (CRD# 4703144) has received multiple investor complaints alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he was previously registered as a broker with NYLife Securities and Voya Financial Advisors.
Austin Arata: Kinecta Advisor Receives $340K Complaint
Torrance, California financial advisor Austin Arata (CRD# 6448739) allegedly made unauthorized transactions, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, doing business as Kinecta Financial & Insurance Services.
David Goldstein: WealthPlan Advisor Lands GWG L Bond Complaint
Rancho Mirage, California financial advisor David Goldstein (CRD# 1718066) recently received an investor complaint in connection with an investment in GWG L bonds. Financial Industry Regulatory Authority records show that he is registered as a broker with Securities America and an investment advisor with WealthPlan Partners.
Chris Sivley: Horizon Group Advisor Faces $100K-$500K Complaint
Ponte Vedra Beach, Florida financial advisor Chris Sivley (CRD# 3070468) recently received an investor complaint alleging 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 Raymond James Financial Services, doing business as The Horizon Group.
Daniel Kistler: Dempsey Advisor Faces $100K Complaint
Rome, Georgia financial advisor Daniel Kistler (CRD# 6203300) recently received an investor complaint alleging 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 Dempsey Lord Smith.
Eric Bailey: Lincoln Financial Denies $148K Complaint
A recent, denied investor complaint against Silver Spring, Maryland financial advisor Eric Bailey (CRD# 1279349) 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 Lincoln Financial Advisors, and that he is the owner of Bailey Wealth Advisors.
Leo Hansen: Merrill Lynch Advisor Resigned over Trading Allegations
Former San Francisco financial advisor Leo Hansen (CRD# 3207894) allegedly made excessive trades in a customer’s account, according to a recent investor complaint. Financial Industry Regulatory Authority records show that the former Merrill Lynch representative is no longer registered as a broker or an investment advisor.
Kevin Loyd: Legacy Wealth Advisor Faces $300K Complaint
Town and Country, Missouri financial advisor Kevin Loyd (CRD# 5893179) 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 LPL Financial, doing business as Legacy Wealth Advisors.
