Brookfield, Wisconsin financial advisor Peter Glowacki (CRD# 1180975) was recently sanctioned in connection with allegations that he exercised discretion without...
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Tom Reyes: FINRA Bars Former Raymond James Advisor
Former La Vista, Nebraska financial advisor Tom Reyes (CRD# 3168338) was recently sanctioned in connection with improper annuity sales. Financial Industry Regulatory Authority records show that the former Raymond James Financial Services and NEXT Financial Group broker is currently not registered with any broker-dealer firm.
Les Miles: Why Was Vanderbilt Advisor Fired by First Heartland?
Starkville, Mississippi financial advisor Les Miles (CRD# 5157562) was recently fired by his former member firm in connection with allegations of alleged rule violations. Financial Industry Regulatory Authority records show that the former First Heartland Capital broker is currently registered with Vanderbilt Securities.
Bart Harrison: Legacy 1031 Advisor Faces DST Complaint
Trussville, Alabama financial advisor Bart Harrison (CRD# 1616987) recently received an investor complaint in connection with a Delaware Statutory Trust investment. Financial Industry Regulatory Authority records show that he is a broker registered with Concorde Investment Services and the president of Legacy 1031.
Stuart Spivak: $150K Complaint Against Spivak Financial Group Advisor
Scottsdale financial advisor Stuart Spivak (CRD# 1883651) 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 and an investment advisor with Centaurus Financial, doing business as The Spivak Financial Group.
Cathy Bramlett: Thrivent Advisor Sanctioned
Dodgeville, Wisconsin financial advisor Cathy Bramlett (CRD# 2063221) was recently sanctioned in connection with allegations that she recommended an unsuitable trade. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Thrivent Investment Management.
Rob Cohen: Stifel Advisor Receives Mutual Fund Complaint
Melville, New York financial advisor Robert Cohen (CRD# 1162192) has received multiple investor complaints 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 Stifel Nicolaus & Company, having previously been registered with UBS Financial Services.
John Howle: $499K Complaint Against USCA Advisor
A recent investor complaint against Dallas financial advisor John Howle (CRD# 1284162) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with USCA Securities and an investment advisor with US Capital Wealth Advisors.
Ken Maring: Great Basin Advisor Lands Misrepresentation Complaint
San Diego financial advisor Ken Maring (CRD# 1500005) recently received an investor complaint alleging that his conduct resulted in damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Morgan Stanley broker is currently registered with Concurrent Investment Advisers, doing business as Great Basin Asset Management.
Dan Silverberg: UBS Advisor Faces Investor Complaint
A recent investor complaint against Philadelphia, Pennsylvania financial advisor Dan Silverberg (CRD# 1576956) alleges that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with UBS Financial Services.
Shawn Patt: Complaint Against Ex-RBC Advisor Settles for $92K
Calabasas, California financial advisor Shawn Patt (CRD# 4484268) recently received an investor complaint that reached a settlement exceeding $90,000. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former RBC Capital Markets broker is currently registered as an investment advisor with Atala Financial.
