Former Cobleskill, New York financial advisor Meredith Webber (CRD# 2435263) was recently named in a pending enforcement action. Financial Industry...
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Boca Raton Advisor John Egan Receives Multiple Complaints
Newbridge Financial Securities financial advisor John Egan (CRD# 818750) is the recipient of multiple investor complaints alleging his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Boca Raton, California.
Kevin Nevin: $400K Complaint Against Barred Edina Advisor
Former Dempsey Lord Smith financial advisor Kevin Nevin (CRD# 2460059) was recently sanctioned by the Financial Industry Regulatory Authority. FINRA records show that the former Edina, Minnesota-based broker has been barred from association with any FINRA member in all capacities.
Tim Petrou: FINRA Sanctions Ronkonkoma Advisor for 6 Months
The Financial Industry Regulatory Authority (FINRA) recently sanctioned former Arive Capital Markets financial advisor Tim Petrou (CRD# 2672840). FINRA records show that the Ronkonokoma, New York broker allegedly engaged in excessive and unsuitable trading and has been suspended for six months.
New Complaint Against North Texas Advisory Group’s Buddy Jimerson
Dallas financial advisor Buddy Jimerson (CRD# 1374856) recently received an investor complaint alleging his investment advice resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Sunbelt Securities, doing business as North Texas Advisory Group.
Petoskey Advisor Rochelle Roerig: Bond Complaint
PNC Investments financial advisor Rochelle Roerig (CRD# 4049700) recently received an investor complaint that reached a five-figure settlement. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor based in Petoskey, Michigan.
FINRA Suspends Shawn Murff, Ballwin Financial Advisor
The Financial Industry Regulatory Authority (FINRA) recently sanctioned Cutter & Company financial advisor Shawn Murff (CRD# 6714280). FINRA records show that the Ballwin, Missouri broker and investment advisor allegedly compensated a customer for a loss without his member firm’s authorization and has been suspended for one month.
Roman Petryszyn: Lincoln Financial Investor Files REIT Complaint
Henderson, Nevada financial advisor Roman Petryszyn (CRD# 2095397) is involved in an investor complaint detailing allegations regarding an oil and gas real estate investment trust (REIT). Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Innovation Partners and a representative of Roman Wealth Strategies.
Linh Tran: Investor Complaint Against Palo Alto Advisor
Morgan Stanley financial advisor Linh Tran (CRD# 4981423) recently received an investor complaint alleging she provided misleading advice. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor based in Palo Alto, California.
Michael Kane: $135K Bond Complaint Against Hilltop Advisor
A recent investor complaint against Plano, Texas financial advisor Michael Kane (CRD# 2453018) alleges that his investment advice resulted in damages exceeding $100,000. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Hilltop Securities.
Daniel Feng: $487K Complaint Against Newport Beach Advisor
Former Irvine, California financial advisor Daniel Feng (CRD# 5607011) has received multiple investor complaints alleging his conduct resulted in losses. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Morgan Stanley broker is currently registered as an investment advisor with American Fundstars in Newport Beach, California.
