Former Cobleskill, New York financial advisor Meredith Webber (CRD# 2435263) was recently named in a pending enforcement action. Financial Industry...
Read MoreAuthor Archives: chase@carlson-law.com
Joseph Crespi: Stifel Fined $2.5mm over Alleged “Predatory” Sales
The Massachusetts Secretary of State recently announced a $2.5 million fine against broker-dealer Stifel Nicolaus & Company in connection with findings that the firm overlooked red flags of “predatory sales practices” by former Taunton, Massachusetts representative Joseph Crespi. Financial Industry Regulatory Authority records show that Crespi (CRD# 1110919) is not currently registered as a… Read More »
William Notrica: Ex-RBC Advisor Faces Suitability Complaint
San Juan Capistrano financial advisor William Notrica (CRD# 817537) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that the Aegis Capital broker and investment advisor was recently fired by RBC Capital Markets.
David McMillen: $75K-$125K Complaint Against Foundation Wealth Advisor
Boulder financial advisor David McMillen (CRD# 1198070) is involved in an investor complaint alleging his investment advice resulted in five- to six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Crown Capital Securities, doing business as Foundation Financial and Foundation Wealth Management.
Alan Pransky: $50K-$100K Complaint Against Pransky Financial Advisor
Peabody, Massachusetts financial advisor Alan Pransky (CRD# 1399836) allegedly recommended an unsuitable corporate bond investment, according to a recent investor complaint filed against him. Records provided by the Financial Industry Regulatory Authority show that he is currently a broker and an investment advisor with LifeMark Securities Corporation, doing business as the Pransky Financial Group.
Fleming Financial’s Sean Fleming: $483K Award in Investor Complaint
A recent investor complaint against Mesa, Arizona financial advisor Sean Fleming (CRD# 6516544) resulted in a six-figure award to the customer. Records provided by the Securities and Exchange Commission show that he is currently registered as an investment advisor with Fleming Financial Services.
Gene Theobald: RBC Advisor Faces Misrepresentation Complaint
A recent investor complaint against Houston financial advisor Gene Theobald (CRD# 1235214) alleges misconduct relating to risky investments. Financial Industry Regulatory Authority records indicate that he is currently a broker and an investment advisor with RBC Capital Markets, having previously been registered with Morgan Stanley.
Adam Corwin: Complaint Against MML Advisor Alleges Fraud
Atlanta financial advisor Adam Corwin (CRD# 6650208) is involved in an investor complaint alleging the unsuitable recommendation of fraudulent investments. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with MML Investors Services, having previously been registered with OneAmerica Securities.
James Warring: EagleStone Wealth Advisor Faces $4.5mm Complaint
A recent investor complaint against Rockville, Maryland financial advisor James Warring (CRD# 3198200) alleges that his conduct resulted in damages of more than $4 million. Records maintained by the Financial Industry Regulatory Authority show that he is currently registered as a broker with DAI Securities and an investment advisor with EagleStone Wealth Advisors.
Chuck Timmerman: $400K Complaint Against US Bancorp Advisor
Green Bay, Wisconsin financial advisor Chuck Timmerman (CRD# 4463425) recently received an investor complaint alleging his conduct resulted in damages of $400,000. Records maintained by the Financial Industry Regulatory Authority show that he is a broker with US Bancorp Investments, having previously been registered with JP Morgan Securities.
Adam Brown: WestPark Advisor Faces $351K Investor Complaint
Recent investor complaints against Boca Raton financial advisor Adam Brown (CRD# 4506309) allege that he breached his fiduciary duty and acted negligently. Records provided by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with WestPark Capital, having previously been registered with Newport Coast Securities.
