Las Vegas, Nevada financial advisor Steve Brundage (CRD# 2597779) recently received an investor complaint alleging that his conduct resulted in...
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Enrique Pascual: $635K Complaint Against Stonecrest Advisor
A recent investor complaint against San Juan, Puerto Rico financial advisor Enrique Pascual (CRD# 2184412) alleges that he recommended an unsuitable investment in a promissory note. Financial Industry Regulatory Authority records show that he is registered as a broker with Stonecrest Capital Markets.
Jerry Hanifan: Estate Planning Center Advisor Faces $50K Complaint
West Jefferson, North Carolina financial advisor Jerry Hanifan (CRD# 2286666) has received multiple investor complaints alleging that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with USA Financial Securities, and that he is the president of Estate Planning Center.
TK Daniel Chen: $500K GWG Complaint Against TKC Wealth Advisor
Dallas, Texas financial advisor TK Daniel Chen (CRD# 2394916) recently received an investor complaint alleging that he recommended an unsuitable GWG L bond investment. Financial Industry Regulatory Authority records show that he is registered as a broker with Landolt Securities and an investment advisor with TKC Wealth Management.
Heather O’Neill Fairbanks: Beacon Pointe Advisor Faces $250K Complaint
Skokie, Illinois financial advisor Heather O’Neill Fairbanks (CRD# 2135206) recently received an investor complaint alleging that she misappropriated funds. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former FSC Securities broker is registered as an investment advisor with Beacon Pointe Advisors.
Tony Mampieri: $7.7mm Complaint Against Wells Fargo Advisor
A recent investor complaint against Dublin, Ohio financial advisor Tony Mampieri (CRD# 1653703) alleges that his conduct resulted in more than $7 million in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Wells Fargo Advisors.
Robert Moon: $4mm Complaint Against Moon Wealth Advisor
Bethesda, Maryland financial advisor Robert Moon (CRD# 2431875) allegedly misappropriated customer funds, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Rockefeller Financial and an investment advisor with Rockefeller Capital Management, having previously been registered with Merrill Lynch.
Christopher Christensen: FINRA Complaint Against ex-iCap CEO
Former Issaquah, Washington financial advisor Christopher Christiansen (CRD# 7680869) is the subject of a FINRA complaint alleging that he violated industry rules. Financial Industry Regulatory Authority records show that he was previously registered as a broker and an investment advisor with Airlink Markets.
Kevin Albritton: $575K Complaint Against Albritton Financial Advisor
Former St. Louis, Missouri financial advisor Kevin Albritton (CRD# 727420) recently received an investor complaint that reached a settlement of more than $500,000. Financial Industry Regulatory Authority records show that he was previously a broker registered with Cambridge Investment Research and an investment advisor registered with Carson Wealth, doing business as Albritton Financial Services.
Bill Westcott: LPL Advisor Landed $190K ETF Complaint
A recent investor complaint against Tucson, Arizona financial advisor Bill Westcott (CRD# 1007101) alleged unsuitable investment recommendations. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, doing business as Bill Westcott Inc.
Michael Kelley: $2mm Complaint Against LPL/Charter Advisor
Indianapolis financial advisor Michael Kelley (CRD# 1021878) recently received an investor complaint alleging that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with LPL Financial and an investment advisor with Charter Advisory Corporation.
