A recent investor complaint against El Segundo, California financial advisor Victor Rodriguez (CRD# 2900010) alleged that his investment advice resulted...
Read MoreAuthor Archives: chase@carlson-law.com
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.
Andrew Marinos: Schwab Advisor Lands $2mm Complaint
Mission Viejo, California financial advisor Andrew Marinos (CRD# 4317707) recently received an investor complaint alleging that his advice resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Charles Schwab.
Curtis Kroll: Wells Fargo Advisor Faced $10mm Complaint
A recent investor complaint against Jacksonville, Florida financial advisor Curtis Kroll (CRD# 6487481) alleges 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 Wells Fargo Clearing Services.
William Pugh: FINRA Sanctions Ex-Columbia Capital Advisor
Former Los Angeles, California financial advisor William Pugh (CRD# 4855771) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Columbia Capital Securities.
Curtis Kroll: Wells Fargo Clearing Services Advisor Faced $10mm Complaint
A recent investor complaint against Jacksonville, Florida financial advisor Curtis Kroll (CRD# 6487481) alleges 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 Wells Fargo Clearing Services.
Josiah Jennings: FINRA Suspends Ex-Columbia Capital Advisor
Yorba Linda, California financial advisor Josiah Jennings (CRD# 6031164) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Columbia Capital Securities broker is currently registered as an investment advisor with Vela Consulting.
