Former Pittsburgh, Pennsylvania financial advisor Ceondre Colvin (CRD# 7329753) was recently sanctioned by FINRA in connection with alleged rule violations....
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Robert Earls: DOJ Probes LPL Advisor; $1.1 Million Complaint
Former Roanoke, Virginia financial advisor Robert Earls (CRD# 1369915) allegedly recommended an unsuitable investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with LPL Financial, doing business as Southern Investment Strategies.
Jason Stone: Secura Financial Advisor Lands $100K Complaint
Orange, California financial advisor Jason Stone (CRD# 5455271) recently received an investor complaint alleging that he recommended unsuitable alternative investments. Financial Industry Regulatory Authority records show that he is currently registered as a broker with Arkadios Capital and an investment advisor with Secura Financial Planning and Wealth Management.
Patrick Jenkins: Oil & Gas Complaint Against CreativeOne Advisor
A recent investor complaint against Logan, Utah financial advisor Patrick Jenkins (CRD# 5261717) alleges that he made unsuitable investment recommendations. Financial Industry Regulatory Authority records show that he is registered as a broker with CreativeOne Securities and an investment advisor with Strategic Advocates.
Ron Itin: $1.6mm Award Against E1 Advisor
Jersey City financial advisor Ron Itin (CRD# 2344151) recently received an investor complaint that resolved with an award to the claimant of more than $1 million. Financial Industry Regulatory Authority records show that he is currently registered as a broker with E1 Asset Management.
John Tryon: Centaurus Advisor Denies $100K Bond Complaint
Troy, Michigan financial advisor John Tryon (CRD# 1593231) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Centaurus Financial, doing business as John E. Tryon & Associates.
Joel Harworth: Connect Tax & Wealth Advisor Lands $93K Complaint
Covina, California financial advisor Joel Harworth (CRD# 3131373) recently received an investor complaint alleging that his conduct resulted in more than $90,000 in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Centaurus Financial, doing business as Connect Tax and Wealth Management.
Jeff Buchanan: $198K Complaint Against Wealth Management Advisor
A recent investor complaint against Hershey, Pennsylvania financial advisor Jeff Buchanan (CRD# 4083514) alleges 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 Securities America, doing business as Wealth Management Services.
Nate Tuori: $90K Complaint Against PNC Advisor
Toledo, Ohio financial advisor Nate Tuori (CRD# 5809383) recently received an investor complaint alleging that his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with PNC Investments, having previously been registered with Morgan Stanley.
Lillian Henderson: Ex-Edward Jones Advisor Receives $600K Complaint
Meridianville, Alabama financial advisor Lillian Henderson (CRD# 5847473) recently received an investor complaint alleging that her advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that the former Merrill Lynch and Edward Jones broker is currently registered as an investment advisor with LBH Wealth Advisors.
Carlos Guzman: Did Merrill Lynch Advisor Misappropriate Funds?
A recent investor complaint against Tucson, Arizona financial advisor Carlos Guzman (CRD# 6323925) alleges that he misappropriated a customer’s funds. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Merrill Lynch.
