Former Miami, Florida financial advisor Daniel Diaz (CRD# 1715827) was recently terminated from his member firm in connection with alleged...
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Dave Dunn: $8.8mm Complaint Against Dunn Wealth Advisor
Walnut Creek, California financial advisor Dave Dunn (CRD# 2819556) recently received an investor complaint alleging elder abuse. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Raymond James & Associates, having previously been registered with Oppenheimer & Company.
Keith Baron: FINRA Bars Ex-Equity Services Advisor
A recent regulatory sanction against former Jericho, New York financial advisor Keith Baron (CRD# 3231494) barred him in connection with allegations that he misrepresented an energy investment. Financial Industry Regulatory Authority records show that he was previously registered as a broker with Equity Services, though he is no longer registered as a broker.
John Mickelson: Suitability Complaint Against Wealth Advocates Advisor
Logan, Utah financial advisor John Mickelson (CRD# 2628700) allegedly recommended investments to generate commissions, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with CreativeOne Securities and an investment advisor with Strategic Advocates, doing business as Wealth Advocates.
Brian Megibow: Why Did FourStar Advisor Resign from Ameriprise?
Fort Myers, Florida financial advisor Brian Megibow (CRD# 3083501) recently resigned from his former member firm while under review. Financial Industry Regulatory Authority records show that the former Ameriprise Financial Services broker is currently registered as an investment advisor with FourStar Wealth Advisors.
Dan Mann: Investor Complaint Against Ex-Kalos Advisor
Las Vegas, Nevada financial advisor Dan Mann (CRD# 4592568) recently received an investor complaint alleging that his advice resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Independent Financial Group, doing business as Cornerstone Wealth Management.
Garry Martin: Champion Forest Advisor Lands $191K Complaint
A recent investor complaint against Houston, Texas financial advisor Garry Martin (CRD# 1362164) alleges that he improperly set up accounts, resulting in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Raymond James Financial Services, doing business as Champion Forest Financial Advisors.
Antonio del Castillo: Fidelity Advisor Faced $129K Complaint
Campbell, California financial advisor Antonio del Castillo (CRD# 4986536) recently received an investor complaint alleging that his advice resulted in six-figure losses. Financial Industry Regulatory Authority records show that he is registered as a broker with Fidelity Brokerage Services and an investment advisor with Fidelity Personal and Workplace Advisors.
Lora Hoff: Wealth Partners Advisor Landed $150K Complaint
A recent, denied investor complaint against Dallas, Texas financial advisor Lora Hoff (CRD# 3175071) alleges that her advice resulted in losses. Financial Industry Regulatory Authority records show that she is registered as a broker with Purshe Kaplan Sterling and an investment advisor with Concurrent Investment Advisors, doing business as Wealth Partners Alliance.
Aubrey Parker: $140K Complaint Against Wells Fargo Advisor
Stone Mountain, Georgia financial advisor Aubrey Parker (CRD# 2454088) 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 Wells Fargo Clearing Services.
Joseph Eisler: FINRA Investigates LPL Advisor
A recent investigation into Blue Bell, Pennsylvania financial advisor Joseph Eisler (CRD# 2503507) concerns allegations of improper sharing in customer profits. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, doing business as Gladstone Wealth Partners.
