Raleigh, North Carolina financial advisor Mary Duffman (CRD# 4651571) recently received an investor complaint alleging that her conduct resulted in...
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Brandon Fancher: RBC Advisor Faces Investor Complaint
A recent investor complaint against Leawood, Kansas financial advisor Brandon Fancher (CRD# 4899246) alleges that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with RBC Capital Markets.
Motaz Ashri: Why Was Oppenheimer Advisor Fired by Morgan Stanley?
Coral Gables, Florida financial advisor Motaz Ashri (CRD# 8018725) was recently fired from his former employer in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Morgan Stanley representative is currently registered as a broker with Oppenheimer & Company.
Markus Byrd: Ex-Kestra Advisor Faces iPath Complaint
Dallas, Texas financial advisor Markus Byrd (CRD# 2177376) has received multiple investor complaints alleging that his advice resulted in damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Kestra Investment Services broker is currently registered as an investment advisor with Candor Wealth Management.
Eilier Teruel: UIT Complaint Against Merrill Advisor
A recent investor complaint against Chattanooga, Tennessee financial advisor Eilier Teruel (CRD# 6831230) alleges that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch.
Logan Calloway: Did NYLife Advisor Recommend Unsuitable Rollover?
Fort Collins, Colorado financial advisor Logan Calloway (CRD# 7216999) recently received an investor complaint in connection with an annuity product. Financial Industry Regulatory Authority records show that he is registered as a broker with NYLife Securities.
Brian Barber: Lake Financial Advisor Received Trading Complaint
A recent, denied complaint against Port Washington, Wisconsin financial advisor Brian Barber (CRD# 5397025) 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 Group.
David Randall: Ex-Merrill Advisor Received Misappropriation Complaint
A recent, denied investor complaint against Alpharetta, Georgia financial advisor David Randall (CRD# 6219621) alleged that his conduct resulted in damages exceeding $100,000. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former UBS Financial Services broker is currently registered as an investment advisor with Elevation Point Wealth Partners.
Reid Rasner: Why Did LPL Fire Omnivest Advisor?
Casper, Wyoming financial advisor Reid Rasner (CRD# 6887076) was recently fired by his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former LPL Financial broker is currently registered as an investment advisor with Omnivest.
Deborah Stackpole: $840K DST Complaint Against Stonecrest Advisor
Bayville, New Jersey financial advisor Deborah Stackpole (CRD# 4969850) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is registered as a broker with Stonecrest Capital Markets and an investment advisor with Stonecrest Advisors.
Peter Roberts: $200K Complaint Against Cornerstone Advisor
Richmond, Virginia financial advisor Peter Roberts (CRD# 6982848) recently received an investor complaint alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with WealthForge Securities, doing business as Cornerstone Real Estate Investment Services.
