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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David Goldstein: WealthPlan Advisor Lands GWG L Bond Complaint
Rancho Mirage, California financial advisor David Goldstein (CRD# 1718066) recently received an investor complaint in connection with an investment in GWG L bonds. Financial Industry Regulatory Authority records show that he is registered as a broker with Securities America and an investment advisor with WealthPlan Partners.
Chris Sivley: Horizon Group Advisor Faces $100K-$500K Complaint
Ponte Vedra Beach, Florida financial advisor Chris Sivley (CRD# 3070468) recently received an investor complaint alleging that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Raymond James Financial Services, doing business as The Horizon Group.
Daniel Kistler: Dempsey Advisor Faces $100K Complaint
Rome, Georgia financial advisor Daniel Kistler (CRD# 6203300) recently received an investor complaint alleging that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Dempsey Lord Smith.
Eric Bailey: Lincoln Financial Denies $148K Complaint
A recent, denied investor complaint against Silver Spring, Maryland financial advisor Eric Bailey (CRD# 1279349) alleges that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Lincoln Financial Advisors, and that he is the owner of Bailey Wealth Advisors.
Leo Hansen: Merrill Lynch Advisor Resigned over Trading Allegations
Former San Francisco financial advisor Leo Hansen (CRD# 3207894) allegedly made excessive trades in a customer’s account, according to a recent investor complaint. Financial Industry Regulatory Authority records show that the former Merrill Lynch representative is no longer registered as a broker or an investment advisor.
Kevin Loyd: Legacy Wealth Advisor Faces $300K Complaint
Town and Country, Missouri financial advisor Kevin Loyd (CRD# 5893179) 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 LPL Financial, doing business as Legacy Wealth Advisors.
Scott Wendelin: Wells Fargo Advisor Faces $495K Complaint
A recent investor complaint against Beverly Hills, California financial advisor Scott Wendelin (CRD# 1146303) alleges that his advice resulted in damages exceeding $400,000. Financial Industry Regulatory Authority records show that he is currently registered as a broker with Wells Fargo Clearing Services and an investment advisor with Wells Fargo Advisors.
Kyle Kirkham: $9 Million Complaint Against Schwab Advisor
A recent investor complaint against former La Jolla, California financial advisor Kyle Kirkham (CRD# 5221648) alleges that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Charles Schwab & Company, having previously been registered with TD Ameritrade.
Robert Earls: DOJ Probes LPL Advisor; $1.1 Million Complaint
Former Roanoke, Virginia financial advisor Robert Earls (CRD# 1369915) allegedly recommended an unsuitable investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with LPL Financial, doing business as Southern Investment Strategies.
Jason Stone: Secura Financial Advisor Lands $100K Complaint
Orange, California financial advisor Jason Stone (CRD# 5455271) recently received an investor complaint alleging that he recommended unsuitable alternative investments. Financial Industry Regulatory Authority records show that he is currently registered as a broker with Arkadios Capital and an investment advisor with Secura Financial Planning and Wealth Management.
