A recent investor complaint against Broadview Heights, Ohio financial advisor Richard Ganim (CRD# 2447068) alleges that he violated Regulation Best...
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Carl DeMarco: Hornor Townsend Advisor Faces $144K Complaint
A recent investor complaint against Tinton Falls, New Jersey financial advisor Carl DeMarco (CRD# 2671924) alleges 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 Hornor Townsend & Kent, doing business as Primary Financial.
Randy Moening: Aegis Advisor Fired by RBC
Austin, Texas financial advisor Randy Moening (CRD# 3029155) was recently terminated from his position at RBC Capital Markets in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that he is now registered as a broker with Aegis Capital Corporation.
Jacque Kuchta: UBS Advisor Lands Suitability Complaint
New Orleans, Louisiana financial advisor Jacque Kuchta (CRD# 1819415) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with UBS Financial Services.
Patrick Morehead: $400K Complaint Against Ex-WestPark Advisor
La Mirada, California financial advisor Patrick Morehead (CRD# 6661646) recently received an investor complaint alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that he was previously registered as a broker with WestPark Capital.
Rosser Newton: $1mm-$5mm Complaint Against Skystone Advisor
A recent investor complaint against Dallas, Texas financial advisor Rosser Newton (CRD# 2616702) alleges that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Skystone Securities.
Andrea Bulow: Emerson, Ex-NI Advisor Lands $165K Complaint
San Mateo, California financial advisor Andrea Bulow (CRD# 3071648) 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 with Emerson Equity, having previously been registered with NI Advisors.
Rafael Williamson, REIT Complaint Against UBS Advisor
A recent investor complaint against Boston, Massachusetts financial advisor Rafael Williamson (CRD# 2784795) alleges that he misrepresented investments in REITs and variable annuities. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with UBS Financial Services.
Bill Morrison: $100K-$500K Complaint Against B. Riley Advisor
A recent investor complaint against Oakbrook Terrace, Illinois financial advisor Bill Morrison (CRD# 1556786) alleges that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with B. Riley Wealth Management and an investment advisor with B. Riley Wealth Advisors.
Steven Tann: $1mm Complaint Against Wells Fargo Advisor
Los Angeles financial advisor Steven Tann (CRD# 1589757) allegedly recommended unsuitable investments, 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 JP Morgan Securities.
Michael Minter: Mintco Advisor Lands $300K Complaint
Tampa, Florida financial advisor Michael Minter (CRD# 2989575) 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 LifeMark Securities, doing business as Mintco Financial.
