Former Cobleskill, New York financial advisor Meredith Webber (CRD# 2435263) was recently named in a pending enforcement action. Financial Industry...
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Anthony Harrigon: Former Lion Street, Triad Advisor Faced Complaints
Boulder, Colorado financial advisor Anthony Harrigan (CRD# 1817525) has received multiple investor complaints alleging his advice resulted in damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that he is registered as an investment advisor with Csenge Advisory Group, having previously been registered with Lion Street Financial and Triad Advisors.
Merrill Lynch Advisor John O’Shaughnessey Receives Investor Complaint
Macon, Georgia financial advisor John O’Shaughnessey (CRD# 1739562) recently received an investor complaint alleging that his conduct resulted in losses exceeding $300,000. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Merrill Lynch, and that he is also known as William O’Shaughnessey III.
Atlas Oil & Gas Complaint Against JP Morand’s Jeff Morand
Englewood, Colorado financial advisor Jeff Morand (CRD# 728191) recently received an investor complaint alleging fraud connected to an investment in Atlas Oil and Gas Growth Partners. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Independent Financial Group, doing business as JP Morand & Company.
Pruco Denies Complaint Against Lancaster Advisor Evan Perets
A recent investor complaint against Pruco Securities financial advisor Evan Perets (CRD# 5778033) alleged his conduct resulted in six-figure losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Lancaster, Pennsylvania.
Eric Marvin: $100K Complaint Against M&M Wealth Advisor
A recent investor complaint against Fort Meyers financial advisor Eric Marvin (CRD# 4856310) alleges that his investment advice resulted in six-figure losses. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the M&M Wealth Management Advisor is not currently registered as a broker.
Mark Joneson: Oil & Gas Complaint Against Rapid City Advisor
Cetera Advisor Networks financial advisor Mark Joneson (CRD# 4119915) recently received an investor complaint alleging his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Rapid City, South Dakota, having previously been registered with Berthel Fisher & Company.
Mariner Wealth’s Jay Schechter Receives Mutual Fund Complaint
A recent investor complaint against Coral Gables, Florida financial advisor Jay Schechter (CRD# 4019220) alleges that his investment advice resulted in losses. Financial Industry Regulatory Authority records show that he is a broker with MSEC and an investment advisor with Mariner Wealth Advisors.
Investor Complaint Against Edina Advisor Monica Sinha
Northwestern Mutual Investment Services advisor Monica Sinha (CRD# 3234116) recently received an investor complaint that settled for more than $200,000. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor based in Edina, Minnesota, and that she has received several regulatory sanctions.
Eliot Sherer: $500K Complaint Against Aegis Capital Advisor
A recent investor complaint against Melville, New York financial advisor Eliot Sherer (CRD# 2719671) alleges his conduct resulted in damages of half a million dollars. Financial Industry Regulatory Authority records show that he is a broker registered with Aegis Capital Corporation.
Investor Files Complaint Against Houston Advisor Eduardo Leon
Global Financial Services advisor Eduardo Leon (CRD# 2232647) has received multiple investor complaints alleging six-figure damages. Financial Industry Regulatory Authority records show that he is a broker based in Houston, Texas.
