Melbourne, Florida financial advisor John Becker (CRD# 5928771) allegedly failed to follow a customer’s instructions, according to a recent investor...
Read MoreAuthor Archives: chase@carlson-law.com
Cody Moran: Bankers Life Advisor Faced $1.8mm Complaint
A recent, denied investor complaint against Cedar Rapids, Iowa financial advisor Cody Moran (CRD# 6939984) alleged that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Bankers Life Securities.
Tim O’Brien: $107K Complaint Against TK Financial Advisor
A recent investor complaint against Colorado Springs, Colorado financial advisor Tim O’Brien (CRD# 5798481) reached a settlement of more than $100,000. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Ausdal Financial Partners, doing business as TK Financial Services.
Samuel Duckett: Option Strategy Complaint Against Graystone Advisor
A recent investor complaint against Austin, Texas financial advisor Samuel Duckett (CRD# 5820876) alleges 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, whose website shows that he is a member of Graystone Consulting, a practice within… Read More »
Matt White: Oil & Gas Complaint Against Cetera, True North Advisor
Baytown, Texas financial advisor Matt White (CRD# 3039904) 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 Cetera and the owner of True North Private Wealth Partners.
Gabriel Martin: LPL Advisor Receives Investor Complaint
A recent investor complaint against Covington, Louisiana financial advisor Gabriel Martin (CRD# 7815903) alleges that his advice resulted in damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former LPL Financial broker is currently registered as an investment advisor with Pelican Advisory.
John McArthur: $1mm Complaint Against Krilogy Advisor
St. Louis, Missouri financial advisor John McArthur (CRD# 4389397) 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 with Saxony Securities and an investment advisor with Krilogy.
Becky Eriksson-Ylagan: Cabin Advisor Faces $250K Complaint
A recent investor complaint against Laguna Niguel, California financial advisor Becky Eriksson-Ylagan (CRD# 7475882) alleges that her advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that she is registered as a broker with Cabin Securities, doing business as DSTs 1031 Investments.
Justin Moore: Merrill Lynch Advisor Lands Suitability Complaint
Greensboro, North Carolina financial advisor Justin Moore (CRD# 6001708) recently received an investor complaint alleging 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.
Coreen Kraysler: SEC Investigates NetCapital Securities Advisor
Boston, Massachusetts financial advisor Coreen Kraysler (CRD# 2699785) is under investigation for alleged violation of securities laws. Financial Industry Regulatory Authority records show that she is registered as a broker with NetCapital Securities, having previously been registered with Livingston Securities.
Priority Income Fund: Investors May Have Recovery Options
Investors who suffered losses on investments in Prospect Capital’s Priority Income Fund may have recovery options. Carlson Law is investigating potential claims regarding the fund, which may have been an unsuitable investment for certain retail customers.
