NFN8 Group, Inc., an Austin, Texas company that sold investors interests in cryptocurrency-mining equipment and “hosting” arrangements, filed for Chapter...
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Buddy Mason: FINRA Bars Ex-LPL Advisor
Former Lakeland, Florida financial advisor Buddy Mason (CRD# 1721391) was recently sanctioned and barred in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with LPL Financial, doing business as Allen & Company.
Trevor Uhls: Carlson Law Represents Alleged Ponzi Scheme Victims
Carlson Law represents 13 alleged victims of former Lee’s Summit, Missouri, financial professional Trevor Uhls, who has been charged by federal prosecutors with allegedly operating a Ponzi scheme that defrauded investors of millions of dollars.
Don D’Adesky: Raymond James Advisor Received Suitability Complaint
Boca Raton, Florida financial advisor Don D’Adesky (CRD# 1703816) allegedly recommended unsuitable investments, according to a recent, denied investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Raymond James & Associates.
Shanna Kehoe: Investor Complaint Against Carson Wealth Advisor
Las Vegas, Nevada financial advisor Shanna Kehoe (CRD# 4736468) recently received an investor complaint alleging that her conduct resulted in six-figure damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Cetera broker is currently registered as an investment advisor with CWM, also known as Carson Wealth.
Douglas Behnfield: $4.2mm Complaint Against Morgan Stanley Advisor
Boulder, Colorado financial advisor Douglas Behnfield (CRD# 840887) allegedly recommended an unsuitable investment 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.
Chris Angelino: Misrepresentation Complaint Against Merrill Advisor
A recent investor complaint against Huntersville, North Carolina financial advisor Chris Angelino (CRD# 2685937) 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 Merrill Lynch.
Robin Cantore: Cetera Advisor Lands $100K-$500K Complaint
New Orleans, Louisiana financial advisor Robin Cantore (CRD# 2584058) has received multiple investor complaints alleging that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Cetera Investment Services and an investment advisor with Cetera Investment Advisers.
Sanjay Chandra: Private Placement Complaint Against TPEG Advisor
A recent investor complaint against Southlake, Texas financial advisor Sanjay Chandra (CRD# 5512809) alleges that his conduct violated industry rules. Financial Industry Regulatory Authority records show that he is registered as a broker with TPEG Securities and an investment advisor with Trinity Investors.
John Sweeden: Cetera Advisor Receives Forgery Complaint
Richardson, Texas financial advisor John Sweeden (CRD# 1662776) recently received an investor complaint alleging forgery and other misconduct. Financial Industry Regulatory Authority records show that he is registered as a broker with Cetera Wealth Services and an investment advisor with Cetera Investment Advisers.
Michael Principato: JP Morgan Advisor Faces $1 Billion Complaint
A recent investor complaint against Staten Island, New York financial advisor Michael Principato (CRD# 5237609) alleges that his conduct resulted in 10-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with JP Morgan Securities.
