San Clemente, California financial advisor Scot Barringer (CRD# 1385168) was recently sanctioned in connection with sales of GWG L Bonds....
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Mike Dietrich: Suitability Complaint Against Morgan Stanley Advisor
A recent investor complaint against Palm Harbor, Florida financial advisor Mike Dietrich (CRD# 2711093) alleges that he provided unsuitable investment advice. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor registered with Morgan Stanley.
Albert Bevilacqua: Ameriprise Advisor Lands $200K FS Energy Complaint
Boca Raton financial advisor Albert Bevilacqua (CRD# 2656029) recently received an investor complaint alleging that he recommended unsuitable investments, including a Securian variable annuity. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Ameriprise Financial Services.
Norman Killop: Morgan Stanley Denies Complaint Against Advisor
Bloomfield Hills, Michigan financial advisor Norman Killop (CRD# 2079787) allegedly mis-managed a customer’s account, according to a denied investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Morgan Stanley, whose website notes that he is a member of The Cranbrook Group.
Bob Hoefel: Wells Fargo Fired Tacoma Advisor
Tacoma, Washington financial advisor Bob Hoefel (CRD# 1508512) was fired by a former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Wells Fargo representative is currently registered as a broker with US Bancorp Investments.
Brian Stern: $845K Complaint Against Advanced Financial Advisor
Rochester, Minnesota financial advisor Brian Stern (CRD# 3137402) recently received an investor complaint alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Osaic Wealth, having previously been registered with Signator Investors and TransAmerica Financial Advisors. He is also an… Read More »
David Gibbs: MML Fires Wayne Advisor over Loan Allegations
Wayne, Pennsylvania financial advisor David Gibbs (CRD# 2917334) was recently fired by MML Investors Services in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is currently registered as a broker with J. Alden Associates.
Matt West & Patrick Mendenhall: USCA Denies $3.5mm Complaint
Houston, Texas financial advisors Matt West (CRD# 2554449) and Patrick Mendenhall (CRD# 1068809) recently received an investor complaint alleging seven-figure losses. Financial Industry Regulatory Authority records show that each is registered as a broker with USCA Securities and an investment advisor with US Capital Wealth Advisors.
Kirk Crossen: $6mm Complaint Against Ex-Morgan Stanley Advisor
A recent investor complaint against Carmel, Indiana financial advisor Kirk Crossen (CRD# 2742256) alleges that his conduct resulted in millions of dollars in damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Raymond James & Associates.
Jeffrey Lee: $40mm Complaint Against JP Morgan Advisor
Tampa, Florida financial advisor Jeffrey Lee (CRD# 4080774) recently received an investor complaint alleging that his conduct resulted in eight-figure losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with JP Morgan Securities, having previously been registered with Merrill Lynch.
Dave Stone: Stifel Advisor Faces 7-Figure Complaint
New York City financial advisor Dave Stone (CRD# 4219856) recently received an investor complaint alleging his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Stifel Nicolaus & Company.
