Multiple investor complaints against Westlake Village, California financial advisor Gaylord Rohloff (CRD# 1542216) allege that he recommended unsuitable investments. Financial...
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Don Meccia: Morgan Stanley Advisor Faces Trading Complaint
A recent investor complaint against Santa Fe financial advisor Don Meccia (CRD# 1433435) alleges that he made unauthorized transactions. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Morgan Stanley, having previously been registered with Merrill Lynch.
Kyle Kim: Leaders Group Advisor Fired by LPL
Littleton, Colorado financial advisor Kyle Kim (CRD# 2446395) was recently fired from LPL Financial in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is now registered as a broker with The Leaders Group and an investment advisor with The Private Client Advisory Group.
Mike Wetrich: Regulators Censure Great Plains Wealth Advisor
Sioux Falls, South Dakota financial advisor Mike Wetrich (CRD# 2842343) was recently censured in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with UBS Financial Services, whose website describes him as a Senior Vice President with Great Plains Wealth Management.
Bruce Stark: Aegis Denies $71K Margin Complaint Against Advisor
A recent, denied investor complaint against Melville, New York financial advisor Bruce Stark (CRD# 2912344) alleged that he recommended the unsuitable use of margin. Financial Industry Regulatory Authority records show that he is registered as a broker advisor with Aegis Capital.
Steven Sharp: Did Wells Fargo Advisor Make Unauthorized Transfer?
Jackson, Mississippi financial advisor Steven Sharp (CRD# 3178563) recently received an investor complaint alleging that he made an unauthorized transfer. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Wells Fargo Clearing Services and Wells Fargo Advisors, respectively.
Parker Brean: Hilltop Advisor Faces Excessive Trading Complaint
A recent investor complaint against San Diego financial advisor Parker Brean (CRD# 5507026) alleges that he made excessive trades. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Hilltop Securities.
Dick Hagan: $400K Complaint Against MassMutual Advisor
Wauwatosa, Wisconsin financial advisor Dick Hagan (CRD# 2392157) allegedly made an unauthorized transaction, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with MML Investors Services, or MassMutual.
Tom Ley: Wells Fargo Advisor Faces Investor Complaint
Toms River, New Jersey financial advisor Tom Ley (CRD# 1127048) 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 Wells Fargo Clearing Services and Wells Fargo Advisors, respectively.
Steve Nielsen: Bond Complaints Against Centaurus Advisor
Recent investor complaints against Gilbert, Arizona financial advisor Steve Nielsen (CRD# 4184826) allege that he recommended unsuitable, high-risk investments. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Centaurus Financial, doing business as Nielsen Wealth Management.
Sam Prapaniku: $115K Complaint Against Ex-Bancorp Advisor
Costa Mesa, California financial advisor Sam Prapaniku (CRD# 5499421) recently received an investor complaint alleging that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Ameriprise Financial Services, having previously been registered with US Bancorp Investments.
