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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Kyle Kim: Leaders Group Advisor Fired by LPL
Littleton, Colorado financial advisor Kyle Kim (CRD# 2446395) was recently fired from LPL Financial in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is now registered as a broker with The Leaders Group and an investment advisor with The Private Client Advisory Group.
Mike Wetrich: Regulators Censure Great Plains Wealth Advisor
Sioux Falls, South Dakota financial advisor Mike Wetrich (CRD# 2842343) was recently censured in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with UBS Financial Services, whose website describes him as a Senior Vice President with Great Plains Wealth Management.
Bruce Stark: Aegis Denies $71K Margin Complaint Against Advisor
A recent, denied investor complaint against Melville, New York financial advisor Bruce Stark (CRD# 2912344) alleged that he recommended the unsuitable use of margin. Financial Industry Regulatory Authority records show that he is registered as a broker advisor with Aegis Capital.
Steven Sharp: Did Wells Fargo Advisor Make Unauthorized Transfer?
Jackson, Mississippi financial advisor Steven Sharp (CRD# 3178563) recently received an investor complaint alleging that he made an unauthorized transfer. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Wells Fargo Clearing Services and Wells Fargo Advisors, respectively.
Parker Brean: Hilltop Advisor Faces Excessive Trading Complaint
A recent investor complaint against San Diego financial advisor Parker Brean (CRD# 5507026) alleges that he made excessive trades. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Hilltop Securities.
Dick Hagan: $400K Complaint Against MassMutual Advisor
Wauwatosa, Wisconsin financial advisor Dick Hagan (CRD# 2392157) allegedly made an unauthorized transaction, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with MML Investors Services, or MassMutual.
Tom Ley: Wells Fargo Advisor Faces Investor Complaint
Toms River, New Jersey financial advisor Tom Ley (CRD# 1127048) 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 Clearing Services and Wells Fargo Advisors, respectively.
Steve Nielsen: Bond Complaints Against Centaurus Advisor
Recent investor complaints against Gilbert, Arizona financial advisor Steve Nielsen (CRD# 4184826) allege that he recommended unsuitable, high-risk investments. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Centaurus Financial, doing business as Nielsen Wealth Management.
Sam Prapaniku: $115K Complaint Against Ex-Bancorp Advisor
Costa Mesa, California financial advisor Sam Prapaniku (CRD# 5499421) recently received an investor complaint alleging that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Ameriprise Financial Services, having previously been registered with US Bancorp Investments.
Mike McFeeley: Academy Advisor Lands 6-Figure Oil & Gas Complaints
York, Pennsylvania financial advisor Mike McFeeley (CRD# 5505995) allegedly recommended unsuitable oil and gas investments, according to multiple investor complaints. Financial Industry Regulatory Authority records show that he is registered with Lincoln Financial Advisors Corporation. He is also the owner of Academy Financial.
