Fort Lauderdale, Florida financial advisor Michael Taylor (CRD# 4900554) recently resigned from his former member firm in connection with alleged...
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Amelia Guidi: $4mm Complaint Against Morgan Stanley Advisor
Boulder, Colorado financial advisor Amelia Guidi (CRD# 5485709) recently received an investor complaint alleging that she recommended an unsuitable strategy. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Morgan Stanley.
Marlo Carpio: US Bancorp Advisor Lands $2.1mm Complaint
Twin Lakes, Wisconsin financial advisor Marlo Carpio (CRD# 3161657) recently received an investor complaint alleging that he violated industry rules, resulting in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with US Bancorp Advisors.
Andrew Montgomery: Why Was LBMZ Advisor Fired?
Wilmington, Delaware financial advisor Andrew Montgomery (CRD# 5668018) was terminated by his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former LBMZ and Zacks Investment Management advisor is currently registered as a broker with Realta Equities.
Mark Korona: UBS Financial Services Advisor Faces $15mm Complaint
A recent investor complaint against Lexington, Kentucky financial advisor Mark Korona (CRD# 4747579) alleges 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.
Darrell Delphen: $50K-$100K Complaint Against Cornerstone Advisor
A recent investor complaint against Dallas, Texas financial advisor Darrell Delphen (CRD# 1603277) alleges that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Independent Financial Group, doing business as Cornerstone Financial Services.
Ryan Bell: Excessive Trading Complaint Against Stifel Advisor
Dallas, Texas financial advisor Ryan Bell (CRD# 3100068) allegedly made excessive 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 Stifel Nicolaus, having previously been registered with Merrill Lynch.
Jeff Sime: IPO Complaint Against Atlas Clearing Advisor
Salt Lake City, Utah financial advisor Jeff Sime (CRD# 1554798) recently received an investor complaint alleging that he violated industry rules. Financial Industry Regulatory Authority records show that he is registered as a broker with Atlas Clearing, having previously been registered with Lime Trading Corporation.
Trevor Flota: Northwestern Advisor Lands Suitability Complaint
A recent investor complaint against Clayton, Missouri financial advisor Trevor Flota (CRD# 6468726) alleges that he made misrepresentations and unauthorized transactions. Financial Industry Regulatory Authority records show that he is registered as a broker with Northwestern Mutual Investment Services.
Shawn Steadman: David Lerner Advisor Faces $50K Complaint
A recent investor complaint against White Plains, New York financial advisor Shawn Steadman (CRD# 6534547) alleges that he misrepresented and recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker with David Lerner Associates.
Robert Burns: $200K Complaint Against Ausdal Advisor
A recent investor complaint against Independence, Ohio financial advisor Robert Burns (CRD# 1286211) alleges that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Ausdal Financial Partners and an investment advisor with Burns Financial Advisors.
