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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Jerry Kiefer: $99K Complaint Against Equitable Advisor
A recent investor complaint against Edmond, Oklahoma financial advisor Jerry Kiefer (CRD# 2271043) alleges that he made unsuitable investment recommendations. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Equitable Advisors.
Jason Smith: Legacy Advisor Lands $75K Investor Complaint
East Peoria, Illinois financial advisor Jason Smith (CRD# 6151353) allegedly recommended an unsuitable investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Osaic Wealth, doing business as Legacy Investment Services.
Gerry McGinley: $500K-$1mm Complaint Against UBS Advisor
Westport, Connecticut financial advisor Gerry McGinley (CRD# 1811084) recently received an investor complaint relating to an options overlay strategy. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with UBS Financial Services.
Raphael Fernando: Ex-BOK Advisor Received 45 Complaints
Houston, Texas financial advisor Raphael Fernando (CRD# 4469669) has received dozens of investor complaints alleging that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is currently registered as a broker with Cetera Investment Services, having previously been registered with BOK Financial Securities.
Nicholas Cipriano: Prospera Advisor Fired by Morgan Stanley
Solana Beach, California financial advisor Nicholas Cipriano (CRD# 5366684) was recently terminated from a former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority show that the former Morgan Stanley broker and investment advisor is currently registered with Prospera Financial Services.
Marc Minor: $75K Complaint Against Legacy Investment Advisor
Naples, Florida financial advisor Marc Minor (CRD# 2230271) allegedly made unauthorized trades, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Osaic Wealth, and that he is the president of Legacy Investment Services.
Rick Lopez: Arkadios, Ex-LPL Advisor Faces Suitability Complaint
A recent investor complaint against McAllen, Texas financial advisor Rick Lopez (CRD# 2209385) alleges that he recommended an unsuitable investment. Financial Industry Regulatory Authority records show that he is currently registered as a broker with Arkadios Capital and an investment advisor with Arkadios Wealth Advisors, having previously been registered with LPL Financial.
Rick LaSpaluto: Centaurus Advisor Denies Suitability Complaint
Las Vegas, Nevada financial advisor Rick LaSpaluto (CRD# 2541603) recently received an investor complaint alleging that his advice resulted in losses. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Centaurus Financial, doing business as LaSpaluto Financial Planners.
Grant Carodine: $600K Complaint Against Edward Jones Advisor
Huntsville, Alabama financial advisor Grant Carodine (CRD# 6691250) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Edward Jones.
James Norris: Baird Advisor Lands 6-Figure Complaint
Ashland, Kentucky financial advisor James Norris (CRD# 1054381) recently received an investor complaint alleging that his conduct resulted in six-figure losses. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Robert W. Baird & Company.
