Oak Park, California financial advisor Debra Cappos (CRD# 1287041) allegedly mis-managed a customer’s account, according to a denied investor complaint....
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Heidi Chamberlain: Trading Complaint Against Morgan Stanley Advisor
Rutland, Vermont financial advisor Heidi Chamberlain (CRD# 2563489) recently received an investor complaint alleging that she made unauthorized and excessive transactions. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Morgan Stanley.
Patrick Crowley: Merrill Lynch Fires Chicago Advisor
Prospect Heights, Illinois financial advisor Patrick Crowley (CRD# 4977791) was recently fired by Merrill Lynch in connection with alleged conduct violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that he is registered as an investment advisor with Crowley Capital Management.
Daniel Diaz: Phoenix Advisor Faces Suitability Complaint
New York City financial advisor Daniel Diaz (CRD# 6871968) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with PHX Financial, also known as Phoenix Financial, having previously been registered with National Securities Corporation.
Will Lawes: Investor Complaint Against Ex-Morgan Stanley Advisor
Austin, Texas financial advisor Will Lawes (CRD# 6170991) 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, having previously been registered with Morgan Stanley.
Jonathan Gazdak: Alexander Capital Advisor Lands $1.6mm Complaint
A recent investor complaint against Red Bank, New Jersey financial advisor Jonathan Gazdak (CRD# 5678294) alleges that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Alexander Capital.
Marco Oreamuno: $140K Complaint Against Bolton Advisor
Miami, Florida financial advisor Marco Oreamuno (CRD# 4903418) allegedly made unauthorized transactions, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Bolton Global Capital, having previously been registered with Morgan Stanley.
Juan Dibildox: Morgan Stanley Advisor Faces Investor Complaint
Miami, Florida financial advisor Juan Dibildox (CRD# 4447582) 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 Morgan Stanley.
Doug Charney: $100K Complaint Against Prospera Advisor
A recent investor complaint against Harrisburg, Pennsylvania financial advisor Doug Charney (CRD# 1838995) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Prospera Financial Services.
Mark Kemp: McNally Advisor Sanctioned over Reverse Convertibles
A recent sanction against Corpus Christi, Texas financial advisor Mark Kemp (CRD# 2057200) alleged that he engaged in inequitable sales practices when selling reverse convertible notes to elderly investors. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with McNally Financial Services, doing business as Kemp… Read More »
Jonathan Upton: LPL Advisor Faces $250K REIT Complaint
Multiple investor complaints against Louisville, Kentucky financial advisor Jonathan Upton (CRD# 4559794) allege that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker with LPL Financial and an investment advisor with Keystone Financial Group.
