A recent investor complaint against Broadview Heights, Ohio financial advisor Richard Ganim (CRD# 2447068) alleges that he violated Regulation Best...
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Stephen Parks: $1mm-$5mm Complaint Against Skystone Advisor
A recent investor complaint against Dallas, Texas financial advisor Stephen Parks (CRD# 5074732) alleges that he recommended unsuitable alternative investments, resulting in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Skystone Securities.
James Lang: FINRA Recommends Action Against Lang Wealth Advisor
Westlake Village, California financial advisor James Lang (CRD# 2959057) allegedly improperly used an investor’s funds, according to a regulatory investigation into his conduct. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Independent Financial Group, doing business as Lang Wealth Management.
Justin Cappadona: Raymond James Denies $1mm Complaint Against Advisor
A recent, denied investor complaint against McAllen, Texas financial advisor Justin Cappadona (CRD# 2775857) alleged that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Raymond James & Associates.
Sam Su: Ameriprise Advisor Faces $50 Million Complaint
San Francisco, California financial advisor Sam Su (CRD# 4232029) allegedly recommended an unsuitable investment strategy, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Ameriprise Financial Services.
Brian Court: FINRA Suspends Ex-Aegis Advisor
Former Melville, New York financial advisor Brian Court (CRD# 2591547) has been sanctioned and suspended in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was previously registered as a broker with Aegis Capital and that he has received several investor complaints.
David Lerner Associates Sanctioned over Energy LPs
Representatives of broker-dealer firm David Lerner Associates (CRD# 5397) allegedly recommended unsuitable limited partnership investments to hundreds of customers, according to a recent sanction by the Financial Industry Regulatory Authority. The firm, headquartered in Syosset, New York, has been censured and suspended from engaging in the sale of proprietary, illiquid products.
Max Tulupnikoff: David Lerner Advisor Fined over Energy LPs
Westport, Connecticut financial advisor Max Tulupnikoff (CRD# 6188857) was recently sanctioned and suspended in connection with the allegedly unsuitable sales of energy limited partnerships. Financial Industry Regulatory Authority records show that he is registered as a broker with David Lerner Associates and an investment advisor with Spirit of America Management Corporation.
Daniel Lerner: FINRA Fines David Lerner Advisor over Energy LPs
White Plains, New York financial advisor Daniel Lerner (CRD# 1255769) was recently sanctioned and suspended in connection with allegations that he recommended an energy limited partnership without reason to believe it was suitable. Financial Industry Regulatory Authority records show that he is registered as a broker with David Lerner Associates.
Todd Leightey: Northwestern Advisor Suspended over Annuities
Upper Sandusky, Ohio financial advisor Todd Leightey (CRD# 4409118) was recently fined and suspended in connection with allegedly improper annuity sales. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Northwestern Mutual Investment Services.
Tony Navarro: FINRA Suspends NFSG, Ex-IFG Advisor
San Diego, California financial advisor Tony Navarro (CRD# 2250454) 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 Independent Financial Group broker is currently registered as an investment advisor with NFSG Corporation.
