San Clemente, California financial advisor Scot Barringer (CRD# 1385168) was recently sanctioned in connection with sales of GWG L Bonds....
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Matt Gehring: Schwab Denies $424K Complaint Against Advisor
A recent, denied investor complaint against Lone Tree, Colorado financial advisor Matt Gehring (CRD# 4814336) alleged that his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Charles Schwab & Company and Schwab Wealth Advisory, respectively, having previously been registered with… Read More »
Jordan Meadow: Ex-Spartan Broker Barred by FINRA
Former New York City financial advisor Jordan Meadow (CRD# 6116538) was recently sanctioned in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was previously registered as a broker with Spartan Capital Securities and that he is a defendant in a pending Securities and Exchange Commission action.
George Terlizzi: $65K Complaint Against SouthPark Advisor
Charlotte, North Carolina financial advisor George Terlizzi (CRD# 5834250) has received multiple investor complaints alleging that his conduct resulted in losses. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that he is registered as an investment advisor with Arkadios Capital, doing business as SouthPark Capital.
Marc Miller: $50K Complaint Against Ex-WIS Advisor
Los Angeles financial advisor Marc Miller (CRD# 1133692) allegedly recommended an unsuitable corporate bond 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 Wedbush Securities, having previously been registered with Western International Securities.
Phil Simonides: $157K Complaint Against Ex-Purshe Kaplan Advisor
Vienna, Virginia financial advisor Phil Simonides (CRD# 1847411) recently received an investor complaint alleging that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Madison Avenue Securities and an investment advisor with McAdam, having previously been registered with Purshe Kaplan Sterling Investments.
Jason Klein: UBS Advisor Faces REIT Complaint
Buffalo, New York financial advisor Jason Klein (CRD# 2038304) 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 UBS Financial Services.
Thomas Williams: Schwab Advisor Lands $235K Complaint
Westlake, Texas financial advisor Thomas Williams (CRD# 7273101) allegedly provided false information to an investor, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Charles Schwab & Company.
Mike Chauvenet: $292K Complaint Against Centaurus Advisor
A recent investor complaint against Frisco, Texas financial advisor Mike Chauvenet (CRD# 1229930) 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 Centaurus Financial, and that he is a representative of Mortgage Resources and Concerto Realty Group.
Mike Coyne: NYSE Sanctions Benjamin Securities Advisor
Miami financial advisor Mike Coyne (CRD# 6456093) was recently sanctioned by the New York Stock Exchange in connection with allegations he failed to reasonably consider conflicts of interest. Financial Industry Regulatory Authority records show that he is registered as a broker with Benjamin Securities, having previously been registered with Ingalls & Snyder.
Casey Arundel: Arkadios Advisor Fired by UBS
Atlanta, Georgia financial advisor Casey Arundel (CRD# 4925418) was recently fired by his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Arkadios, having previously been registered with UBS Financial Services.
