Minneapolis, Minnesota financial advisor Kirsten Gillen (CRD# 5981051) allegedly failed to act in her customers’ best interest, according to a...
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Beaux Treguboff: LPL Financial Advisor Receives $650K Complaint
A recent investor complaint against Glendale, Arizona financial advisor Beaux Treguboff (CRD# 5533615) alleges that he recommended an unsuitable investment. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, doing business as Homestead Wealth Management.
Mikayla Raleigh: Quincy Wells Advisor Lands $500K Complaint
A recent investor complaint against Cary, North Carolina financial advisor Mikayla Raleigh (CRD# 7181755) alleges that her conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that she is registered as a broker with Quincy Wells Capital and an investment advisor with Raleigh Capital Management.
Laura Clark: Merrill Lynch Advisor Faces $1.2mm Complaint
Mount Pleasant, South Carolina financial advisor Laura Clark (CRD# 2483992) recently received an investor complaint alleging that her conduct resulted in damages of more than $1 million. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Merrill Lynch.
Tamara Totah: $7mm Complaint Against Old City Securities Advisor
A recent investor complaint against New York, New York financial advisor Tamara Totah (CRD# 6592304) alleges that her advice resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Old City Securities.
Jayme Lemaire: FINRA Bars Ex-Raymond James Advisor
Former Glastonbury, Connecticut financial advisor Jayme Lemaire (CRD# 4336052) was recently sanctioned and barred in connection with alleged rule violations. Financial Industry Regulatory Authority records show that she was most recently registered as a broker with International Assets Advisory, having previously been registered with Lincoln Investment and Raymond James Financial Services.
Gerald Page: FINRA Bars Fired NYLife Advisor
Former Horsham, Pennsylvania financial advisor Gerald Page (CRD# 7577838) was recently sanctioned and barred in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was last registered as a broker with NYLife Securities.
Gary Talbot: FINRA Suspends Spartan Capital Advisor
New York, New York financial advisor Gary Talbot (CRD# 3059670) was recently suspended in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is registered as a broker with Spartan Capital Securities.
Dan Schmid: FINRA Bars Former Equitable Advisor
Minneapolis, Minnesota financial advisor Dan Schmid (CRD# 6658306) was recently sanctioned by FINRA in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was last registered as a broker with Equitable Advisors.
Daniel Diaz: FINRA Sanctions Ex-Raymond James Advisor
Miami, Florida financial advisor Daniel Diaz (CRD# 1715827) was recently sanctioned by FINRA in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was last registered as a broker with Raymond James & Associates.
David Demarest: UBS Advisor Faces $15mm Complaint
Lexington, Kentucky financial advisor David Demarest (CRD# 4843128) recently received an investor complaint alleging that his advice resulted in eight-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with UBS Financial Services.
