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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Todd Havemeister: FINRA Suspends Ex-Great Point Capital Advisor
Orlando financial advisor Todd Havemeister (CRD# 1942953) allegedly misrepresented private placement offerings, according to a recent regulatory sanction. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Great Point Capital broker is currently registered as an investment advisor with Blueskye Investment Advisors.
Larry Teichman: Ex-LPL Advisor Faces $110K REIT Complaint
Former Chesterland, Ohio financial advisor Larry Teichman (CRD# 2759058) recently received an investor complaint stemming from an REIT investment. Financial Industry Regulatory Authority records show that the former Ameriprise Financial Services and LPL Financial broker is currently not registered with any broker-dealer firm.
Ronald Berg: FINRA Bars Innovation Partners Advisor
Charlotte, North Carolina financial advisor Ronald Berg (CRD# 19008) was recently sanctioned in connection with an investigation into his alleged recommendation of private offerings to senior customers. Financial Industry Regulatory Authority records show that he is currently registered as a broker with Innovation Partners.
Bill Munn: Ameriprise Denies RiverSource 200K Complaint
Paramus, New Jersey financial advisor Bill Munn (CRD# 2250062) 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 Ameriprise Financial Services.
Brandon Morrow: Complaint Against Emerson Advisor Alleged $900K
Irvine, California financial advisor Brandon Morrow (CRD# 3037943) allegedly misrepresented an investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that the Emerson Equity broker is also a Regional Vice President at Keystone National Properties Real Estate.
Scott Olson: Innovation Partners Advisor Faces $500K REIT Complaint
Melbourne, Florida financial advisor Scott Olson (CRD# 711256) recently received an investor complaint alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor registered with Innovation Partners and IP Financial Advisory Services, respectively.
Wes Johnson: $400K Complaint Against ACT Advisor
Mount Pleasant, South Carolina financial advisor Wes Johnson (CRD# 4545355) allegedly made unsuitable investment recommendations, according to a recent investor complaint. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former LPL Financial broker is currently registered as an investment advisor with ACT Advisors.
Bill Czaplewski: Lake Ridge Advisor Faces Suitability Complaint
A recent investor complaint against Monona, Wisconsin financial advisor Bill Czaplewski (CRD# 2386057) alleges that his advice resulted in losses. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with LPL Financial, doing business as Lake Ridge Financial.
Melanie Gilmore: Wells Fargo Advisor Faces $500K Complaint
La Jolla, California financial advisor Melanie Gilmore (CRD# 4945629) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is currently registered as a broker and an investment advisor with Wells Fargo Clearing Services and Wells Fargo Advisors, respectively.
Jet Huempfner: LPL Denies $360K NVDA Complaint
Former Green Bay, Wisconsin financial advisor Jet Huempfner (CRD# 7076803) recently received an investor complaint alleging that their advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that the former LPL Financial broker is not currently registered with any FINRA member firm.
