Coral Gables, Florida financial advisor Jorge Montealegre (CRD# 1799139) allegedly recommended an unsuitable investment strategy, according to a recent investor...
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Stephen Ostrofsky: Cambridge Advisor Faces $198K Complaint
Boynton Beach, Florida financial advisor Stephen Ostrofsky (CRD# 1551279) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Cambridge Investment Research, doing business as True North Financial Advisors.
Donald Robbins: MML Advisor Faces 8-Figure Complaint
Charlotte, North Carolina financial advisor Donald Robbins (CRD# 4364668) recently received an investor complaint alleging that his conduct resulted in eight-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with MML Investors Services, doing business as Robbins Financial Group.
Steven Kern: Morgan Stanley Advisor Received Options Complaint
A recent, denied investor complaint against Los Angeles, California financial advisor Steven Kern (CRD# 2267576) alleged that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Morgan Stanley.
Juan Benavides: Merrill Lynch Advisor Faced Investor Complaints
Recent, denied investor complaints against Miami, Florida financial advisor Juan Benavides (CRD# 4288007) alleged 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, Pierce, Fenner & Smith.
David Hammond: Cetera Advisor Faces $215K Complaint
A recent investor complaint against Tucson, Arizona financial advisor David Hammond (CRD# 235308) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Cetera Wealth Services and Cetera Investment Advisers, respectively, doing business as Hammond and Associates.
CJ Newton: UBS Advisor Lands Mismanagement Complaint
Greenville, South Carolina financial advisor CJ Newton (CRD# 6195382) 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 UBS Financial Services.
Henry Berg: PHX Financial Advisor Faces Suitability Complaint
A recent investor complaint against Fort Lauderdale, Florida financial advisor Henry Pinkenberg (CRD# 2375654) alleges that he made unsuitable investment recommendations. Financial Industry Regulatory Authority records show that he is registered as a broker with PHX Financial.
Sharon Sykes: $500K Complaint Against ELE Advisor
Southfield, Michigan financial advisor Sharon Sykes (CRD# 1334948) recently received an investor complaint alleging that her conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that she is registered as a broker with ELE Wealth Solutions and an investment advisor with ELE Advisory Services.
Trent Tomlin: TPEG Advisor Receives $750K Complaint
A recent investor complaint against Rochester, New York financial advisor Trent Tomlin (CRD# 2630748) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with TPEG Securities.
Jason Connolly: DFPG Investments Advisor Receives $300K Complaint
San Jose, California financial advisor Jason Connolly (CRD# 4708924) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with DFPG Investments and an investment advisor with Diversify Advisory Services.
