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Recent Blog Posts

Nick Ellis: $70K Bond Complaint Against Ex-Centaurus Advisor

By Chase Carlson |

Tustin, California financial advisor Nick Ellis (CRD# 1082891) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Kestra Investment Services and an investment advisor with Kestra Advisory Services. He is also the president of Ellis Advisory Group.

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Ken Hamada: Avantax Advisor Landed REIT Complaint

By Chase Carlson |

A recent, denied investor complaint against Prescott, Arizona financial advisor Ken Hamada (CRD# 2661699) alleges that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Avantax, doing business as Hamada Wealth Management.

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Anibal Drelichman: $115K Complaint Against UBS, ex-RBC Advisor

By Chase Carlson |

Washington, DC financial advisor Anibal Drelichman (CRD# 2916477) recently received an investor complaint alleging that he made unauthorized transactions. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with UBS Financial Services, having previously been registered with RBC Capital Markets.

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Joshua Helmle: Ex-Integrity Broker Faced GWG Complaint

By Chase Carlson |

Former Monterey Park, California financial advisor Joshua Helmle (CRD# 2195760) allegedly recommended unsuitable GWG L bonds, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he was previously registered as a broker with Integrity Brokerage.

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James Burton: $110K Complaint Against Farmers Financial Advisor

By Chase Carlson |

Former Bakersfield, California financial advisor James Burton (CRD# 5051310) was fired by his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was previously registered as a broker with Farmers Financial Solutions.

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Colleen Maron: $2.16mm DST Complaint Against Ex-PKS Advisor

By Chase Carlson |

Former Albany, New York financial advisor Colleen Maron (CRD# 2211633) allegedly recommended unsuitable Delaware Statutory Trusts, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she was previously registered as a broker and an investment advisor with Purshe Kaplan Sterling.

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Victoria Bogner: $210K Complaint Against Allworth, Ex-Cetera Advisor

By Chase Carlson |

Lawrence, Kansas financial advisor Victoria Bogner (CRD# 5048328) recently received an investor complaint alleging that she made unsuitable investment recommendations. Financial Industry Regulatory Authority records show that she is registered as a broker with AW Securities and an investment advisor with Allworth Financial.

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Keith Morgan: Ex-UBS Advisor Faces Suitability Complaint

By Chase Carlson |

Lake Oswego, Oregon financial advisor Keith Morgan (CRD# 3139407) 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 Steward Partners.

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James Sophia: $50K Complaint Against Ex-Morgan Stanley Advisor

By Chase Carlson |

Shaker Heights, Ohio financial advisor James Sophia (CRD# 3222645) was terminated from his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Morgan Stanley broker is currently registered with Vanderbilt Securities.

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Sandro Olivos: Wells Fargo Advisor Faces NorthStar Complaint

By Chase Carlson |

A recent investor complaint against Key Biscayne, Florida financial advisor Sandro Olivos (CRD# 3228574) alleges that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Wells Fargo Clearing Services.

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