Port Washington, Wisconsin financial advisor Paul Baldino (CRD# 2024264) allegedly made excessive trades, according to a recent investor complaint. Financial...
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Ranjeet Guptara: Suitability Complaint Against Ex-UBS Advisor
Melville, New York financial advisor Ranjeet Guptara (CRD# 7203719) allegedly recommended an unsuitable transaction, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and as an investment advisor with Aegis Capital Corporation.
Solomon Tobal: Ex-Morgan Stanley Advisor Lands Complaints
Hackensack, New Jersey financial advisor Solomon Tobal (CRD# 7643877) recently received an investor complaint alleging that his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Wells Fargo Advisors, having previously been registered with Morgan Stanley
Thiel Ruperto: Utah Files Complaint Against Ex-Hedgehog Advisor
Gilbert, Arizona financial advisor Thiel Ruperto (CRD# 4530049) was recently named respondent in a complaint by the Utah Division of Securities. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former TransAmerica Financial Advisors broker is currently registered as an investment advisor with R3WC Capital, also known as R3 Wealth… Read More »
Zhi “Jeffrey” Guan: $1mm-$5mm Complaint Against Emerson Advisor
A recent investor complaint against San Mateo, California financial advisor Zhi Guan (CRD# 4010563), also known as Jeffrey Guan, alleges that he engaged in deceptive trade practices. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Emerson Equity, doing business as Cereus Investments.
Rodger Thomas: $500K Complaint Against Ex-SCF Securities Advisor
Boca Raton, Florida financial advisor Rodger Thomas (CRD# 4010563) 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 Newbridge, doing business as Shield Capital Advisory.
Joe Doggett: JCD Investments Advisor Faces Elder Abuse Complaint
Columbus, Indiana financial advisor Joe Doggett (CRD# 1033987) has received multiple investor complaints alleging that his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Money Concepts Capital Corporation and Money Concepts Advisory Service, respectively, doing business as JCD Investments.
Gary Madrid: GWG Complaint Against WestPark Advisor
Irvine, California financial advisor Gary Madrid (CRD# 1934700) recently received an investor complaint relating to a GWG L Bond investment. Financial Industry Regulatory Authority records show that he is registered as a broker with WestPark Capital, having previously been registered with Newport Coast Securities.
Ford Keeler: $210K Complaint Against Western Financial Advisor
Grand Junction, Colorado financial advisor Ford Keeler (CRD# 1696709) recently received an investor complaint alleging 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 LPL Financial, doing business as Western Financial Advisors.
Eddie Williams: $50K Complaint Against LifeMark Advisor
A recent investor complaint against Southfield, Michigan financial advisor Eddie Williams (CRD# 2239318) alleges that he recommended an unsuitable investment. Financial Industry Regulatory Authority records show that he is registered as a broker with LifeMark Securities Corporation.
Bill Tunink: $130K Complaint Against Tunink Murray Advisor
UPDATE: Carlson Law is representing clients of Bill Tunink that loan money to him. We have also learned that Bill Tunink is no longer with LPL Financial. Furthermore, Tunink Murry Financial Group’s website now has the following disclosure on its main page: “WILLIAM TUNINK IS NO LONGER AFFILIATED WITH TUNINK MURRAY FINANICAL GROUP,” “WILLIAM… Read More »
