New York City financial advisor Marc Harrison (CRD# 1605568) allegedly violated industry rules, according to an investigation into his conduct....
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Adam Brunin: $210K Complaint Against Navigation Wealth Advisor
A recent investor complaint against Fort Collins, Colorado financial advisor Adam Brunin (CRD# 4407663) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Sigma Financial broker is registered as an investment advisor with Navigation Wealth Management.
Jeff Bailey: FINRA Investigates Bailey & Company Advisor
Brentwood, Tennessee financial advisor Jeff Bailey (CRD# 3171436) is under investigation in connection with an alleged failure to disclose private securities transactions. Financial Industry Regulatory Authority records show that he is registered as a broker with Bailey & Company, having previously been registered with Stillpoint Capital.
Curt Stauffer: Seven Summits Advisor Lands $212K Complaint
Lancaster, Pennsylvania financial advisor Curt Stauffer (CRD# 2615431) recently received an investor complaint alleging that he recommended unsuitable investments. Securities and Exchange Commission records show that he is an investment advisor registered with CS Planning and a managing member of Seven Summits Capital.
Pragnesh Bhatt: Saavi Financial Advisor Faces $615K Complaint
Bethesda, Maryland financial advisor Pragnesh Bhatt (CRD# 5769860) recently received an investor complaint alleging that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with NYLife Securities, doing business as Saavi Financial Group.
Rob Weis: Ampersand Partners Advisor Resigned from Wells Fargo
Lake Forest, Illinois financial advisor Rob Weis (CRD# 2421439) resigned from Wells Fargo in connection with allegations of misconduct. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Ampersand Partners. His website shows that he is a representative of CenterCoast Private Wealth, which offers securities… Read More »
Randy Moshtael: $400K Complaint Against Oppenheimer Advisor
Los Angeles financial advisor Randy Moshtael (CRD# 1036474) 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 Oppenheimer & Company.
Matt Mitchell: BOK Financial Advisor Faces $300K Complaint
Tulsa, Oklahoma financial advisor Matt Mitchell (CRD# 4908737) allegedly failed to disclose the risks of an 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 BOK Financial Securities.
Leigh Allen: LPL Advisor Allegedly Made Unauthorized Sale
Battle Ground, Washington financial advisor Leigh Allen (CRD# 5711971) recently received an investor complaint alleging that he made an unauthorized trade. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with LPL Financial, doing business as Excell Wealth Partners.
Kyle Lindner: $142K Complaint Against Ex-State Farm Advisor
A recent investor complaint alleges that former Katy, Texas financial advisor Kyle Lindner (CRD# 5421697) made a recommendation that resulted in losses exceeding $100,000. Financial Industry Regulatory Authority records show that he was previously registered as a broker with State Farm VP Management Corporation.
Sherwin Sargeant: FINRA Bars PlanMember Advisor After Crypto Probe
Former Orlando, Florida financial advisor Sherwin Sargeant (CRD# 5096798) has been barred by FINRA in connection with allegations of undisclosed outside business activities. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with PlanMember Securities Corporation.
