Former Monterey Park, California financial advisor Joshua Helmle (CRD# 2195760) allegedly recommended unsuitable GWG L bonds, according to a recent...
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Joshua Helmle: Ex-Integrity Broker Faced GWG Complaint
Former Monterey Park, California financial advisor Joshua Helmle (CRD# 2195760) allegedly recommended unsuitable GWG L bonds, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he was previously registered as a broker with Integrity Brokerage.
James Burton: $110K Complaint Against Farmers Financial Advisor
Former Bakersfield, California financial advisor James Burton (CRD# 5051310) was fired by his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was previously registered as a broker with Farmers Financial Solutions.
Colleen Maron: $2.16mm DST Complaint Against Ex-PKS Advisor
Former Albany, New York financial advisor Colleen Maron (CRD# 2211633) allegedly recommended unsuitable Delaware Statutory Trusts, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she was previously registered as a broker and an investment advisor with Purshe Kaplan Sterling.
Victoria Bogner: $210K Complaint Against Allworth, Ex-Cetera Advisor
Lawrence, Kansas financial advisor Victoria Bogner (CRD# 5048328) recently received an investor complaint alleging that she made unsuitable investment recommendations. Financial Industry Regulatory Authority records show that she is registered as a broker with AW Securities and an investment advisor with Allworth Financial.
Keith Morgan: Ex-UBS Advisor Faces Suitability Complaint
Lake Oswego, Oregon financial advisor Keith Morgan (CRD# 3139407) allegedly recommended an unsuitable investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Steward Partners.
James Sophia: $50K Complaint Against Ex-Morgan Stanley Advisor
Shaker Heights, Ohio financial advisor James Sophia (CRD# 3222645) was terminated from his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Morgan Stanley broker is currently registered with Vanderbilt Securities.
Sandro Olivos: Wells Fargo Advisor Faces NorthStar Complaint
A recent investor complaint against Key Biscayne, Florida financial advisor Sandro Olivos (CRD# 3228574) alleges that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Wells Fargo Clearing Services.
Nicholas Jembelis: $150K Complaint Against David Lerner Advisor
White Plains, New York financial advisor Nicholas Jembelis (CRD# 4028696) recently received an investor complaint alleging that he made unsuitable investment recommendations. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with David Lerner Associates.
Michael Lehman: $300K Complaint Against Ex-UBS Advisor
Farmington Hills, Michigan financial advisor Michael Lehman (CRD# 4999885) recently received an investor complaint alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Ameriprise Financial Services.
Todd Welsh: Ex-UBS Advisor Receives $100K Complaint
Tulsa, Oklahoma financial advisor Todd Welsh (CRD# 3214419) recently received an investor complaint alleging due diligence failures. Financial Industry Regulatory Authority records show that he is registered as a broker with Level Four Financial and an investment advisor with Scissortail Wealth Management.
