New York City financial advisor Marc Harrison (CRD# 1605568) allegedly violated industry rules, according to an investigation into his conduct....
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Hau Tran: $479K Complaint Against TransAmerica Advisor
El Paso financial advisor Hau Tran (CRD# 2906135) allegedly sold unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that Mr. Tran is registered as a broker and an investment advisor with TransAmerica Financial Services, having previously been registered with World Group Securities.
Derrick Watts: Ex-B. Riley Advisor Faces $3mm Complaint
A recent investor complaint against Chicago financial advisor Derrick Watts (CRD# 2479608) alleges that his advice resulted in seven-figure damages. Financial Industry Regulatory Authority records show that the former B. Riley Wealth Management representative is currently registered as a broker and an investment advisor with Packerland Brokerage Services.
Thad Allen: $104K Complaint Against Ex-Edward Jones Advisor
Topeka, Kansas financial advisor Thad Allen (CRD# 5644772) recently received an investor complaint alleging that his conduct resulted in damages exceeding $100,000. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Smith Moore & Company, having previously been registered with Edward Jones.
Peter Shen: $440K REIT Complaint Against IFG Advisor
San Diego financial advisor Peter Shen (CRD# 5769894) has received multiple investor complaints alleging that his investment advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Realta Equities, having previously been registered with NI Advisors and Independent Financial Group.
Christian De Berardinis: Aperture Advisor Suspended by FINRA
West Palm Beach, Florida financial advisor Christian De Berardinis (CRD# 4312327) was recently suspended by FINRA in connection with alleged unapproved private offerings. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Morgan Stanley broker is currently registered as an investment advisor with Aperture Advisors.
Mark Woodward: KANA Advisor Faces Suitability Complaint
Tampa, Florida financial advisor Mark Woodward (CRD# 4064469) allegedly made an unsuitable investment recommendation, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Kestra Investment Services and an investment advisor with Kestra Advisory Services, doing business as KANA Private Wealth Group.
Taylor Davis: Meridian Advisor Lands Insurance Complaints
Lexington, Kentucky financial advisor Taylor Davis (CRD# 6646090) has received multiple investor complaints alleging that he made misrepresentations in connection with the investments he recommended. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Northwestern Mutual broker is currently registered as an investment advisor with Meridian Wealth Management.
Chad Mehle: Ex-Morgan Stanley Advisor Faces Suitability Allegations
Irvine, California financial advisor Chad Mehle (CRD# 7008517) recently received an investor complaint alleging that his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with JP Morgan Securities, having previously been registered with Merrill Lynch and Morgan Stanley.
Tony Monaco: Did Merrill Advisor Misrepresent Investments?
A recent, denied investor complaint against Irvine, California financial advisor Tony Monaco (CRD# 7038609) alleged that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch, having previously been registered with JP Morgan Securities.
Juan Rascon: $1mm-$5mm Complaint Against Cetera Advisor
Houston, Texas financial advisor Juan Rascon (CRD# 5631144) allegedly recommended unsuitable investments, according to a recent, denied investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Cetera Investment Services.
