Poughkeepsie, New York financial advisor Johnathan Sawaged (CRD# 7061837) was recently terminated from a former member firm in connection with...
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Michael Mauro: JP Morgan Denied $1mm Complaint Against Adviser
Former Webster, New York financial advisor Michael Mauro (CRD# 5910550) recently received an investor complaint alleging that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that the former JP Morgan Securities representative is not currently registered as a broker or an investment advisor.
Morgan Stanley, Merrill Lynch Face Deferred Compensation Claims
A number of advisors have filed claims against investment firms in connection with allegations that the firms illegally withheld their deferred compensation, with some winning seven-figure sums. As an AdvisorHub report published last month explains, an ex-Merrill Lynch broker filed a putative class action complaint against the firm. The claim specifically alleges that the… Read More »
Bruce Beetz: $300K Complaint Against Emerson Equity Advisor
Hollister, California financial advisor Bruce Beetz (CRD# 1527269) allegedly recommended an unsuitable investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Emerson Equity, having previously been registered with Oak Tree Securities.
John Pigeon: $120K Complaint Against Osaic Advisor
Fall River, Massachusetts financial advisor John Pigeon (CRD# 2354079) recently received an investor complaint alleging that his conduct resulted in damages exceeding $100,000. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Osaic Institutions.
Skip Chatelain: Prospera, Dorsey Advisor Faces $100K-$500K Complaint
A recent investor complaint against Metairie, Louisiana financial advisor Skip Chatelain (CRD# 4192942) 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. He is also a representative of Dorsey & Company, which offers securities… Read More »
Meredith Lyon: 99K Complaint Against Masterman Agency Advisor
Rockland, Maine financial advisor Meredith Lyon (CRD# 6021833) recently received an investor complaint alleging negligence and violation of industry rules. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with United Planners’ Financial Services of America, doing business as The Masterman Agency.
Kurt Berry: FINRA Suspends Former Vanderbilt Advisor
Johnson City, Tennessee financial advisor Kurt Berry (CRD# 4550773) was recently suspended and fined in connection with allegedly improper oil and gas transactions. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Vanderbilt Securities broker is currently registered as an investment advisor with First Advisors National.
Sid Bindra: Suitability Complaints Against Truist Advisor
Tampa, Florida financial advisor Sid Bindra (CRD# 6147537) 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 Truist Investments and an investment advisor with Truist Advisory Services, having previously been registered with BB&T Securities.
Greg Wilson: $1mm Oil & Gas Complaint Against Ortiz Advisor
Whittier, California financial advisor Greg Wilson (CRD# 6849983) recently received an investor complaint alleging that his advice resulted in seven-figure damages. Securities and Exchange Commission records show that he is currently registered as an investment advisor with Ortiz World Wealth, having previously been registered with David Ortiz Advisors.
Wally Less: $254K Complaint Against SouthState Advisor
A recent investor complaint against Savannah, Georgia financial advisor Wally Less (CRD# 5191948) alleges that he approved unauthorized transactions. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, doing business as SouthState Investment Services.
