New York City financial advisor Dan Schapiro (CRD# 2335244) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial...
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Tim Fraser: $2mm Complaint Against LPL/Fraser Wealth Advisor
Woodstock, Illinois financial advisor Tim Fraser (CRD# 4868026) recently received an investor complaint alleging that a variable annuity product resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with LPL Financial, doing business as Fraser Wealth Management.
Buck Jones: REC Complaint Against MML Advisor
A recent investor complaint against Virginia Beach financial advisor Buck Jones (CRD# 6138651) alleges that his investment recommendation caused harm. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with MML Investors Services, also known as MassMutual.
Dave Stephens: MassMutual Advisor Faces REC Complaint
Virginia Beach, Virginia financial advisor Dave Stephens (CRD# 4631818) recently received an investor complaint alleging that his advice resulted in financial harm. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with MassMutual.
Monica Osborne: $200K Complaint Against Avantax, Jones & Roth Advisor
Eugene, Oregon financial advisor Monica Osborne (CRD# 3256608) recently received an investor complaint alleging that her advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that she is currently registered as a broker and an investment advisor with Avantax. She is also a representative of Jones & Roth Financial Advisors.
Scott Phillips: SDP Planning Advisor Faces 6-Figure Complaints
Salt Lake City financial advisor Scott Phillips (CRD# 1311907) has received multiple investor complaints alleging that he recommended unsuitable and risky investments. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Centaurus Financial, doing business as SDP Personalized Planning.
John Micera: $2.2 Million Complaint Against RBC Advisor
Florham Park, New Jersey financial advisor John Micera (CRD# 1255342) recently received an investor complaint alleging that his advice resulted in damages exceeding $2 million. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with RBC Capital Markets.
Justine Cantafio: FINRA Suspends Fired NYLife Advisor
Former Avoca, Pennsylvania financial advisor Justine Cantafio (CRD# 6158299) has been suspended in connection with allegations of forgery and unauthorized conduct. Financial Industry Regulatory Authority records show that she was most recently registered with Hornor Townsend & Kent, having previously been registered with NYLife Securities in Scranton, Pennsylvania.
Barbara Leonard: $125K Complaint Against LPL Advisor
Galveston, Texas financial advisor Barbara Leonard (CRD# 4607044) has received multiple investor complaints alleging that she recommended unsuitable investments. Financial Industry Regulatory Authority records show that she is currently registered as a broker and an investment advisor with LPL Financial.
Bradley Lakner: $100K-$300K Complaint Against Lakner Wealth Advisor
A recent investor complaint against Springfield, Illinois financial advisor Bradley Lakner (CRD# 4167521) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Sunbelt Securities, doing business as Lakner Wealth Management.
Eric Marshall: $75K Bond Complaint Against Legacy Advisor
A recent investor complaint against East Peoria, Illinois financial advisor Eric Marshall (CRD# 4767380) alleges that he made unauthorized transactions. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Osaic Wealth, and that he is a representative of Legacy Investment Services.
