New York City financial advisor Dan Schapiro (CRD# 2335244) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial...
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Douglas Ponczek: $200K Complaint Against UBS Advisor
A recent investor complaint against Aventura, Florida financial advisor Douglas Ponczek (CRD# 5843395) alleges that his investment advice resulted in losses. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with UBS Financial Services.
Brandon Morgan: GWG Complaint Against Bradshaw & Weil Advisor
A recent investor complaint against Paducah, Kentucky financial advisor Brandon Morgan (CRD# 2230081) alleges that he recommended unsuitable investments in GWG L bonds. Securities and Exchange Commission records show that he is currently an investment advisor with AE Wealth Management and the president of Bradshaw & Weil.
Jon Best: Raymond James Advisor Faces Investigation
Henderson, Texas financial advisor Jon Best (CRD# 2225091) allegedly made unauthorized trades, according to an investor complaint and a regulatory investigation. Financial Industry Regulatory Authority records show that he is currently a broker and an investment advisor with Raymond James Financial Services, doing business as Best Financial Group.
Ari Olive: Merrill Advisor Receives Misappropriation Complaint
Los Angeles financial advisor Ari Olive (CRD# 6418405) allegedly misappropriated client funds, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is currently registered as a broker and an investment advisor with Merrill Lynch, having previously been registered with BBVA Securities.
Patrick Louise: $2 Million Complaint Against Fraser Wealth Advisor
Woodstock, Illinois financial advisor Patrick Louise (CRD# 5810428) allegedly recommended unsuitable investments, according to a recent investor complaint. 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.
Greg Suzio: Merrill Lynch Advisor Faces 6-Figure Complaint
Auburn Hills, Michigan financial advisor Greg Suzio (CRD# 5309403) recently received an investor complaint alleging that his advice resulted in losses. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Merrill Lynch, whose website describes him as a member of McGill Suzio Group, a… Read More »
Todd Rustman: $830K Complaint Against Clarity Capital Advisor
Newport Beach, California financial advisor Todd Rustman (CRD# 2453708) recently received an investor complaint alleging that his conduct resulted in damages exceeding $800,000. Financial Industry Regulatory Authority records show that he is currently registered as a broker with American Trust Investment Services and an investment advisor with Clarity Capital Partners.
Kelley Slaught: California Wealth Advisor Lands $100K Bond Complaint
A recent investor complaint against Santa Barbara, California financial advisor Kelley Slaught (CRD# 1126586) alleges that she made an unsuitable investment recommendation. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Centaurus Financial, doing business as California Wealth Advisors.
John Lord: $140K Complaint Against Dempsey Lord Smith Advisor
Calhoun, Georgia financial advisor John Lord (CRD# 1352023) recently received an investor complaint alleging that his conduct resulted in six-figure losses. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Dempsey Lord Smith.
Charles Wareheim: Vaylark Advisor Receives REIT Complaint
Hartford, Connecticut financial advisor Charles Wareheim (CRD# 2193537) recently received an investor complaint alleging that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Independent Financial Group, doing business as Vaylark Financial Services.
