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Author Archives: chase@carlson-law.com

Scott Phillips: SDP Planning Advisor Faces 6-Figure Complaints

By Chase Carlson |

Salt Lake City financial advisor Scott Phillips (CRD# 1311907) has received multiple investor complaints alleging that he recommended unsuitable and risky investments. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Centaurus Financial, doing business as SDP Personalized Planning.

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John Micera: $2.2 Million Complaint Against RBC Advisor

By Chase Carlson |

Florham Park, New Jersey financial advisor John Micera (CRD# 1255342) recently received an investor complaint alleging that his advice resulted in damages exceeding $2 million. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with RBC Capital Markets.

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Justine Cantafio: FINRA Suspends Fired NYLife Advisor

By Chase Carlson |

Former Avoca, Pennsylvania financial advisor Justine Cantafio (CRD# 6158299) has been suspended in connection with allegations of forgery and unauthorized conduct. Financial Industry Regulatory Authority records show that she was most recently registered with Hornor Townsend & Kent, having previously been registered with NYLife Securities in Scranton, Pennsylvania.

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Barbara Leonard: $125K Complaint Against LPL Advisor

By Chase Carlson |

Galveston, Texas financial advisor Barbara Leonard (CRD# 4607044) has received multiple investor complaints alleging that she recommended unsuitable investments. Financial Industry Regulatory Authority records show that she is currently registered as a broker and an investment advisor with LPL Financial.

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Bradley Lakner: $100K-$300K Complaint Against Lakner Wealth Advisor

By Chase Carlson |

A recent investor complaint against Springfield, Illinois financial advisor Bradley Lakner (CRD# 4167521) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Sunbelt Securities, doing business as Lakner Wealth Management.

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Eric Marshall: $75K Bond Complaint Against Legacy Advisor

By Chase Carlson |

A recent investor complaint against East Peoria, Illinois financial advisor Eric Marshall (CRD# 4767380) alleges that he made unauthorized transactions. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Osaic Wealth, and that he is a representative of Legacy Investment Services.

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Douglas Ponczek: $200K Complaint Against UBS Advisor

By Chase Carlson |

A recent investor complaint against Aventura, Florida financial advisor Douglas Ponczek (CRD# 5843395) alleges that his investment advice resulted in losses. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with UBS Financial Services.

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Mark Siegel: UBS Advisor Receives 6-Figure Investor Complaint

By Chase Carlson |

Washington, DC financial advisor Mark Siegel (CRD# 1579229) recently received an investor complaint alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with UBS Financial Services, having previously been registered with Merrill Lynch.

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Brandon Morgan: GWG Complaint Against Bradshaw & Weil Advisor

By Chase Carlson |

A recent investor complaint against Paducah, Kentucky financial advisor Brandon Morgan (CRD# 2230081) alleges that he recommended unsuitable investments in GWG L bonds. Securities and Exchange Commission records show that he is currently an investment advisor with AE Wealth Management and the president of Bradshaw & Weil.

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Jon Best: Raymond James Advisor Faces Investigation

By Chase Carlson |

Henderson, Texas financial advisor Jon Best (CRD# 2225091) allegedly made unauthorized trades, according to an investor complaint and a regulatory investigation. Financial Industry Regulatory Authority records show that he is currently a broker and an investment advisor with Raymond James Financial Services, doing business as Best Financial Group.

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