Boston, Massachusetts financial advisor Coreen Kraysler (CRD# 2699785) is under investigation for alleged violation of securities laws. Financial Industry Regulatory...
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TJ Kroehle: Suitability Complaint Against Ex-Kestra Advisor
Addison, Texas financial advisor TJ Kroehle (CRD# 4388363) recently received an investor complaint alleging that his advice resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Osaic Wealth, doing business as Income By Design.
Brad Katzer: Lake Financial Advisor Faced Trading Complaint
A recent, denied investor complaint against Port Washington, Wisconsin financial advisor Brad Katzer (CRD# 6627091) alleged that he made excessive trades. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Equitable Advisors, doing business as Lake Financial.
Michael Sullivan: Options Complaint Against Morgan Stanley Advisor
A recent investor complaint against San Mateo, California financial advisor Michael Sullivan (CRD# 6546863) alleges that his advice resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Morgan Stanley.
Kevin Wright: $1mm Complaint Against Rockefeller Advisor
Houston, Texas financial advisor Kevin Wright (CRD# 6344931) has received multiple investor complaints alleging that his investment advice resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Rockefeller Financial and Rockefeller Capital, respectively.
Trevor Uhls: FINRA Bars Former MML Advisor
Former MML Investors Services representative Trevor Uhls (CRD# 6872250) has been sanctioned and barred by the Financial Industry Regulatory Authority in connection with alleged rule violations. FINRA records show that he is a former associated person no longer registered with a FINRA member firm.
Jordan Grangard: RBC, Ex-UBS Advisor Faces Improper Trading Complaint
Las Vegas financial advisor Jordan Grangard (CRD# 6097246) allegedly failed to follow client instructions, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with RBC Capital Markets, whose website shows that he is Managing Director of the Grangard Private Wealth… Read More »
Bob Reese: $500K Complaint Against Ex-Secure Capital Advisor
Charlotte, North Carolina financial advisor Bob Reese (CRD# 5880465) allegedly misrepresented investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Innovation Partners and the founder of Aditum Group.
Ben Carmona: $200K Complaint Against Perch Wealth Advisor
San Juan, Capistrano financial advisor Ben Carmona (CRD# 5120428) allegedly violated industry rules, according to a recent six-figure investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Realta Equities, doing business as Perch Wealth.
Michael Morando: $125K Complaint Against Centaurus Advisor
A recent investor complaint against Santa Barbara, California financial advisor Michael Morando (CRD# 6098724) alleges that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Centaurus Financial, doing business as Tremblay Financial.
Jonas Everett: Suitability Complaint Against Ex-Cambridge Advisor
Cedar Rapids, Iowa financial advisor Jonas Everett (CRD# 2396343) recently received an investor complaint alleging that his advice resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, doing business as Premier Investments.
