A recent investor complaint against Broadview Heights, Ohio financial advisor Richard Ganim (CRD# 2447068) alleges that he violated Regulation Best...
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Marco Oreamuno: Demanda de $140,000 Contra Asesor de Bolton
Miami, Florida — El asesor financiero Marco Oreamuno (CRD# 4903418) presuntamente realizó transacciones no autorizadas, según una reciente reclamación presentada por un inversionista. Registros de la Autoridad Reguladora de la Industria Financiera (FINRA, por sus siglas en inglés) indican que está registrado como corredor y asesor de inversiones con Bolton Global Capital, habiendo estado… Read More »
Nicholas Stovall: FINRA Bars Ex-Gradient Advisor
Former Arden Hills, Minnesota financial advisor Nicholas Stovall (CRD# 5581487) was recently sanctioned and barred in connection with allegations that he improperly participated in private securities transactions. Financial Industry Regulatory Authority records show that he was previously registered as a broker with Gradient Securities.
Joseph Tranchina: FINRA Suspends Forte Financial Advisor
Holmdel, New Jersey financial advisor Joseph Tranchina (CRD# 6085344) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is registered as a broker with Ceros Financial Services, while his professional profile shows that he is a representative of Forte Financial Group, a division of… Read More »
John Larsen: Raymond James Advisor Faces $3mm Complaint
Scottsdale, Arizona financial advisor John Larsen (CRD# 2700922) recently received an investor complaint alleging that his trading 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 Financial Services.
Chris Polimeni: $1.6mm Complaint Against WIS Advisor
Irvine, California financial advisor Chris Polimeni (CRD# 1643121) recently received an investor complaint alleging that he converted a customer’s assets. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Western International Securities.
Scott Morrison: $3mm Complaint Against BRAVE Advisor
Providence, Rhode Island financial advisor Scott Morrison (CRD# 1878820) allegedly embezzled funds and charged unauthorized fees, according to a recent investor complaint. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Stillpoint Capital broker is currently registered as an investment advisor with BRAVE Family Advisors.
Jeff Webb: Emerson Advisor Lands $200K Complaint
San Mateo, California financial advisor Jeff Webb (CRD# 6486331) 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 Emerson Equity, and that he is the founder and CEO of Mountain Financial.
Tony King: UBS Advisor Faces Unauthorized Trading Allegations
A recent investor complaint against Clayton, Missouri financial advisor Tony King (CRD# 6012568) alleges that he made unauthorized trades. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with UBS Financial Services.
Shalom Azar & Sandy Fischman: Morgan Stanley Advisors Face Complaint
Paramus, New Jersey financial advisors Shalom Azar (CRD# 7125424) and Sandy Fischman (CRD# 5902109) recently received an investor complaint alleging that they recommended an unsuitable investment. Financial Industry Regulatory Authority records show that they are each registered as a broker and an investment advisor with Morgan Stanley.
Thanasi Tomaras: RF Lafferty Advisor Lands $500K Complaint
New York City financial advisor Thanasi Tomaras (CRD# 2722538) 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 RF Lafferty & Company.
