Brookfield, Wisconsin financial advisor Peter Glowacki (CRD# 1180975) was recently sanctioned in connection with allegations that he exercised discretion without...
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Sam Barber: $80K Complaint Against Chittenden Financial Advisor
Naugatuck, Connecticut financial advisor Sam Barber (CRD# 4750380) 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 LifeMark Securities Corporation, doing business as Chittenden Financial Services.
Jennifer Yoon: $200K Complaint Against Morgan Stanley Advisor
Menlo Park, California financial advisor Jennifer Yoon (CRD# 6864788) recently received an investor complaint alleging that her conduct resulted in damages. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Morgan Stanley, having previously been registered with Merrill Lynch.
Wally Davis: Oppenheimer Advisor Denies Trading Complaint
New York City financial advisor Wally Davis (CRD# 1532144) made unauthorized trades, 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 Oppenheimer & Company, and that he is also registered with the firm’s office in Westport, Connecticut.
Chris Jacobi: $150K Complaint Against Ameriprise Advisor
Pensacola, Florida financial advisor Chris Jacobi (CRD# 1648679) recently received an investor complaint alleged that his investment advice 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.
Katherine Carter: American Century Advisor Lands $700K Complaint
Kansas City, Missouri financial advisor Katherine Carter (CRD# 2224156) allegedly made an unauthorized transaction, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with American Century Investment Services.
Kevin Cougle: $126K Complaint Against Retirement Optimization Advisor
Rochester, New York financial advisor Kevin Cougle (CRD# 2251260) recently received an investor complaint alleging that he conducted unauthorized transactions. Financial Industry Regulatory Authority records show that he is registered as a broker with Cadaret Grant & Company, doing business as The Retirement Optimization Group.
Bernard Yip: $108K Complaint Against First Hawaiian Advisor
Honolulu financial advisor Bernard Yip (CRD# 2391643) 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 Raymond James Financial Services, and that he is a representative of First Hawaiian Advisors.
Robert Snider: MassMutual Advisor Receives Churning Complaint
A recent investor complaint against Vienna, West Virginia financial advisor Robert Snider (CRD# 2417319) alleges that he churned investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with MML Investors Services, also known as MassMutual.
Ron Appler: Rocky Mountain Advisor Lands $300K REIT Complaint
Sykesville, Georgia financial advisor Ron Appler (CRD# 2499039) allegedly recommended unsuitable BDC and REIT investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Independent Financial Group, doing business as Rocky Mountain High Financial Services.
Jeffrey Shaver: $100K Complaint Against Ex-Triad Advisor
A recent investor complaint against Atlanta, Georgia financial advisor Jeffrey Shaver (CRD# 2675592) alleges that his investment advice resulted in six-figure damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Arkadios Capital and Triad Advisors broker is currently registered as an investment advisor with 34 Financial.
