Lake Mary, Florida financial advisor David Sosa (CRD# 2447013) allegedly made an unauthorized transaction, according to a recent investor complaint....
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Trey Trapp: Mutual Fund Complaint Against Ex-Edward Jones Advisor
Atlanta financial advisor Trey Trapp (CRD# 6177720) allegedly lied to a customer about his investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that the former Edward Jones broker, previously based in Belden, Mississippi, is currently registered as an investment advisor with San Blas Securities.
Trevin Kent: Central Coast Advisor Faces $230K Complaint
A recent investor complaint against Monterey, California financial advisor Trevin Kent (CRD# 6096717) alleges that his investment advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that the former Centaurus Financial broker is currently registered as an investment advisor with ThePartners Wealth Management, doing business as Central Coast Financial Management.
Bart Cutino: $230K Bond Complaint Against Central Coast Advisor
Monterey, California financial advisor Bart Cutino (CRD# 5397147) recently received an investor complaint alleging that he provided unsuitable advice. Financial Industry Regulatory Authority records show that the former Centaurus Financial broker is currently registered as an investment advisor with ThePartners Wealth Management, doing business as Central Coast Financial Management.
Chris Conover: SEC Sanctions Hudson Companies Advisor
Pearl River, New York financial advisor Chris Conover (CRD# 2919616) has been sanctioned by the Securities and Exchange Commission (SEC) in connection with allegations that he failed to disclose conflicts of industry. Financial Industry Regulatory Authority and SEC records show that he is currently registered as an investment advisor with Hudson Companies.
Brad Whalen: $235K Complaint Against Green Vista Advisor
Winter Park, Florida financial advisor Brad Whalen (CRD# 2582276) allegedly violated state and federal securities laws, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is currently registered as a broker with Green Vista Capital, having previously been registered with The Strategic Financial Alliance.
Matthew Leisman: $45K Bond Complaint Against Westport Advisor
Kansas City, Missouri financial advisor Matthew Leisman (CRD# 2113061) has received multiple investor complaints alleging that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Moloney Securities, doing business as Westport Advisory Group.
Mitchell Pindus: Wells Fargo Advisor Lands $200K Complaint
Los Angeles financial advisor Mitchell Pindus (CRD# 1268550) recently received an investor complaint alleging that his investment recommendations resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Wells Fargo.
Cameron Clark: Suitability Complaint Against Members Financial Advisor
Albuquerque, New Mexico financial advisor Cameron Clark (CRD# 5010604) recently received an investor complaint alleging that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with LPL Financial, doing business as Members Financial Services
Troy Brown: Edward Jones Advisor Receives Investor Complaint
Oklahoma City financial advisor Troy Brown (CRD# 2262142) allegedly breached his fiduciary duty to a client, 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.
Rich Pascale: Classic Benefit Planners Advisor Faces $340K Complaint
A recent investor complaint against Massapequa Park, New York financial advisor Rich Pascale (CRD# 3221955) alleges that his conduct resulted in damages exceeding $300,000. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with LifeMark Securities. He is also a representative of Classic Benefit Planners.
