San Clemente, California financial advisor Scot Barringer (CRD# 1385168) was recently sanctioned in connection with sales of GWG L Bonds....
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TK Daniel Chen: $500K GWG Complaint Against TKC Wealth Advisor
Dallas, Texas financial advisor TK Daniel Chen (CRD# 2394916) recently received an investor complaint alleging that he recommended an unsuitable GWG L bond investment. Financial Industry Regulatory Authority records show that he is registered as a broker with Landolt Securities and an investment advisor with TKC Wealth Management.
Heather O’Neill Fairbanks: Beacon Pointe Advisor Faces $250K Complaint
Skokie, Illinois financial advisor Heather O’Neill Fairbanks (CRD# 2135206) recently received an investor complaint alleging that she misappropriated funds. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former FSC Securities broker is registered as an investment advisor with Beacon Pointe Advisors.
Tony Mampieri: $7.7mm Complaint Against Wells Fargo Advisor
A recent investor complaint against Dublin, Ohio financial advisor Tony Mampieri (CRD# 1653703) alleges that his conduct resulted in more than $7 million in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Wells Fargo Advisors.
Robert Moon: $4mm Complaint Against Moon Wealth Advisor
Bethesda, Maryland financial advisor Robert Moon (CRD# 2431875) allegedly misappropriated customer funds, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Rockefeller Financial and an investment advisor with Rockefeller Capital Management, having previously been registered with Merrill Lynch.
Christopher Christensen: FINRA Complaint Against ex-iCap CEO
Former Issaquah, Washington financial advisor Christopher Christiansen (CRD# 7680869) is the subject of a FINRA complaint alleging that he violated industry rules. Financial Industry Regulatory Authority records show that he was previously registered as a broker and an investment advisor with Airlink Markets.
Kevin Albritton: $575K Complaint Against Albritton Financial Advisor
Former St. Louis, Missouri financial advisor Kevin Albritton (CRD# 727420) recently received an investor complaint that reached a settlement of more than $500,000. Financial Industry Regulatory Authority records show that he was previously a broker registered with Cambridge Investment Research and an investment advisor registered with Carson Wealth, doing business as Albritton Financial Services.
Bill Westcott: LPL Advisor Landed $190K ETF Complaint
A recent investor complaint against Tucson, Arizona financial advisor Bill Westcott (CRD# 1007101) alleged unsuitable investment recommendations. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, doing business as Bill Westcott Inc.
Michael Kelley: $2mm Complaint Against LPL/Charter Advisor
Indianapolis financial advisor Michael Kelley (CRD# 1021878) 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 with LPL Financial and an investment advisor with Charter Advisory Corporation.
Will Brown & Stefan Gertsch: UBS Fires Advisors
Memphis, Tennessee financial advisors Will Brown (CRD# 6522004) and Stefan Gertsch (CRD# 5284354) were recently terminated by UBS Financial Advisors in connection with alleged rule violations. Financial Industry Regulatory Authority records show that each is registered as a broker with Kestra Investment Services and Kestra Private Wealth Services.
Opher Shallom: Wells Fargo Advisor Faced Options Complaint
A recent investor complaint against Wayzata, Minnesota financial advisor Opher Shallom (CRD# 4060644) alleges that he recommended an inappropriate strategy. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Wells Fargo Advisors Financial Network.
