Former Miami, Florida financial advisor Daniel Diaz (CRD# 1715827) was recently terminated from his member firm in connection with alleged...
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Sandro Olivos: Wells Fargo Advisor Faces NorthStar Complaint
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.
Nicholas Jembelis: $150K Complaint Against David Lerner Advisor
White Plains, New York financial advisor Nicholas Jembelis (CRD# 4028696) recently received an investor complaint alleging that he made unsuitable investment recommendations. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with David Lerner Associates.
Michael Lehman: $300K Complaint Against Ex-UBS Advisor
Farmington Hills, Michigan financial advisor Michael Lehman (CRD# 4999885) recently received an investor complaint alleging that his conduct 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.
Todd Welsh: Ex-UBS Advisor Receives $100K Complaint
Tulsa, Oklahoma financial advisor Todd Welsh (CRD# 3214419) recently received an investor complaint alleging due diligence failures. Financial Industry Regulatory Authority records show that he is registered as a broker with Level Four Financial and an investment advisor with Scissortail Wealth Management.
Steve Bransburg: Gradient Advisor Fired by AllState
Conroe, Texas financial advisor Steve Bransburg (CRD# 1003470) was recently terminated by a former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former AllState Financial Services representative is currently registered as a broker with Gradient Securities.
Leonard Suskind: UBS Advisor Received $1.5mm Complaint
A recent, denied investor complaint against Hallandale Beach, Florida financial advisor Leonard Suskind (CRD# 1140599) alleged that his conduct resulted in 7-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with UBS Financial Services.
Fred Hilton: $500K Complaint Against LPL Advisor
Gainesville, Florida financial advisor Fred Hilton (CRD# 2161935) allegedly recommended unsuitable 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 LPL Financial, doing business as CAMPUS Investment Services.
Walter Schram: Ameriprise Advisor Lands $300K Complaint
A recent investor complaint against Farmington Hills, Michigan financial advisor Walter Schram (CRD# 1728096) alleges that his conduct 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.
James Peterson: Did Raymond James Advisor Misappropriate Funds?
St. Cloud, Minnesota financial advisor James Peterson (CRD# 1804629) recently received an investor complaint alleging that he misappropriated funds. 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 Bremer Investments.
Steve Marotto: $550K Complaint Against Morgan Stanley Advisor
A recent investor complaint against San Francisco, California financial advisor Steve Marotto (CRD# 5473140) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Morgan Stanley.
