Carlson Law, P.A. is representing a former client of LPL Financial's Michael Graham who was located in El Paso, Texas....
Read MoreCategory Archives: Uncategorized
Joseph Tartaglini: $425K Complaint Against JP Morgan Advisor
A recent investor complaint against Reno, Nevada financial advisor Joseph Tartaglini (CRD# 4963465) alleges that his advice resulted in damages of more than $400,000. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with JP Morgan Securities.
Christian Ramsey: $250K Complaint Against QPIA, Ex-Foothill Advisor
Colorado Springs financial advisor Christian Ramsey (CRD# 3038410) 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 the former Foothill Securities broker is currently registered as an investment advisor with QPIA.
Jorge Harker: $310K Complaint Against Holistic Brokerage Advisor
A recent investor complaint against Miami, Florida financial advisor Jorge Harker (CRD# 7015433) alleges that he made unauthorized trades. Financial Industry Regulatory Authority records show that he is registered as a broker with Holistic Brokerage and an investment advisor with Holistic Asset Management.
Thomas Windsor: $1mm Complaint Against Wells Fargo Advisor
Irvine, California financial advisor Thomas Windsor (CRD# 6671276) recently received an investor complaint alleging 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 Wells Fargo Clearing Services and Wells Fargo Advisors, respectively.
Harry Warnick: FINRA Bars Fired Spartan Capital Advisor
Former New York City financial advisor Harry Warnick (CRD# 6916323) was recently sanctioned and barred in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Spartan Capital Securities, having previously been registered with Benchmark Investments.
Aaron Hammer: Lone Peak Advisor Fired by Valmark Securities
St. Cloud, Minnesota financial advisor Aaron Hammer (CRD# 4803779) was recently terminated from a former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Valmark Securities representative is currently registered as a broker with Transitional Broker and an investment advisor with Lone Peak Advisers.
John Suess: $200K Complaint Against Stifel Advisor
Edwardsville, Illinois financial advisor John Suess (CRD# 1950146) 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 Stifel Nicolaus & Company.
Patrick Lam: Sherer Group Advisor Faces $1mm-$5mm Complaint
A recent investor complaint against Scottsdale, Arizona financial advisor Patrick Lam (CRD# 4723020) alleges that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Emerson Equity, doing business as Sherer Group.
Ranjeet Guptara: Suitability Complaint Against Ex-UBS Advisor
Melville, New York financial advisor Ranjeet Guptara (CRD# 7203719) allegedly recommended an unsuitable transaction, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and as an investment advisor with Aegis Capital Corporation.
Solomon Tobal: Ex-Morgan Stanley Advisor Lands Complaints
Hackensack, New Jersey financial advisor Solomon Tobal (CRD# 7643877) recently received an investor complaint alleging that his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Wells Fargo Advisors, having previously been registered with Morgan Stanley
