Englewood, Colorado financial advisor Terry Herron (CRD# 1172497) is listed in a Form D filing for Inspired Healthcare Capital, a...
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Matthew Chancey: Realta Advisor Faces 6-Figure Complaint
Winter Park, Florida financial advisor Matthew Chancey (CRD# 5645874) recently received an investor complaint alleging that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Realta Equities and Realta Investment Advisors, respectively.
Erik Antener: $150K Complaint Against Park Avenue Advisor
Austin, Texas financial advisor Erik Antener (CRD# 5329953) allegedly made unauthorized trades, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Park Avenue Securities.
Michael Pak: $200K Complaint Against Citigroup Advisor
Bronx, New York financial advisor Michael Pak (CRD# 4052829) allegedly recommended an unsuitable structured note, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Citigroup Global Markets.
Emmet Martin: $150K Complaint Against Trustmont Advisor
A recent investor complaint against Mauldin, South Carolina financial advisor Emmet Martin (CRD# 3053367) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Trustmont Financial Group and an investment advisor with Trustmont Advisory Group.
Kevin Forrest: $2mm Complaint Against Morgan Stanley Advisor
Miami, Florida financial advisor Kevin Forrest (CRD# 5873266) allegedly recommended an unsuitable options strategy, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Morgan Stanley.
Reed Haimson: $475K Complaint Against Great Point Advisor
Lakewood, Colorado financial advisor Reed Haimson (CRD# 5533993) allegedly made an unsuitable investment recommendation, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Great Point Capital and Quincy Wells Advisors, respectively.
Simon Petro: Suitability Complaint Against Morgan Stanley Advisor
Roseville, California financial advisor Simon Petro (CRD# 6899791) 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 Morgan Stanley.
Jeff Frankos: $10mm Complaint Against Raymond James Advisor
A recent investor complaint against San Francisco, California financial advisor Jeff Frankos (CRD# 4006785) alleges that his conduct resulted in damages exceeding $10 million. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Raymond James & Associates.
KeyCity Capital: Investors Suffer Losses on KCAP RE Funds
Investors who suffered losses in funds managed by Lasater Capital, LLC, previously known as KeyCity Capital, may have recovery options. The company, headquartered in Southlake, Texas, raised capital from accredited investors through a series of private real estate funds known as the KCAP RE funds. Those investments went on to experience “a series of… Read More »
Toni Iannarelli: $101K Complaint Against LPL Advisor
A recent investor complaint against Westlake Village, California financial advisor Tony Iannarelli (CRD# 1193641) alleges that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with LPL Financial.
