A recent, denied investor complaint against Ridgewood, New York financial advisor Bibi Razack (CRD# 3094072) alleged that she recommended unsuitable...
Read MoreAuthor Archives: chase@carlson-law.com
John McKee: $3mm Complaint Against Arkadios Advisor
A recent investor complaint against Redwood City, California financial advisor John McKee (CRD# 1931547) alleges that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Arkadios Capital and Arkadios Wealth Advisors, respectively.
Matt Brennan: Ex-Strategic Financial Advisor Lands 6-Figure Complaint
Reston, Virginia financial advisor Matt Brennan (CRD# 4658620) allegedly violated industry rules, according to a recent investor complaint. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the Covenant Wealth advisor was last registered as a broker with The Strategic Financial Alliance.
Paulette Treguboff: LPL Advisor Receives $650K Complaint
Glendale, Arizona financial advisor Paulette Treguboff (CRD# 2699595) recently received an investor complaint alleging that she recommended an unsuitable investment. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with LPL Financial, doing business as Homestead Wealth Management.
Edward Jordan: MML Advisor Faces $17.5mm Complaint
A recent investor complaint against Charlotte, North Carolina financial advisor Edward Jordan (CRD# 6687232) 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 MML Investors Services.
Howard Crockett: FINRA Suspends Ex-NYLife Advisor
Former Germantown, Tennessee financial advisor Howard Crockett (CRD# 3022729) 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 NYLife Securities.
Colin Longacre: Prairie Wealth Advisor Fired by Merrill Lynch
Omaha, Nebraska financial advisor Colin Longacre (CRD# 6630854) was recently fired by his former member firm. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Merrill Lynch broker is currently registered as an investment advisor with Prairie Wealth Advisors.
Salvatore Bonomo: $500K Complaint Against Merrill Lynch Advisor
Staten Island, New York financial advisor Salvatore Bonomo (CRD# 5733048) allegedly made an unsuitable investment recommendation, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch.
Eric Heiting: Central Wealth Advisor Faces $147K Complaint
Madison, Wisconsin financial advisor Eric Heiting (CRD# 3052881) recently received an investor complaint alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former NYLife Securities broker is currently registered as an investment advisor with Central Wealth Management and PMMSF Partners.
Tim Clairmont: Cetera Advisor Receives $100K Complaint
A recent investor complaint against Lake Oswego, Oregon financial advisor Tim Clairmont (CRD# 2847591) alleges that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Cetera.
Lou Tucci: $2mm Complaint Against Arkadios Advisor
North Haledon, New Jersey financial advisor Lou Tucci (CRD# 4508379) allegedly violated industry rules, according to a recent, seven-figure investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Arkadios Capital and an investment advisor with Arkadios Wealth Advisors.
