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News
Julius Agbonbhase: Morgan Stanley Advisor Lands Suitability Complaint
23+ hour, 50+ min ago (234+ words) carlsonlaw.com Julius Agbonbhase: Morgan Stanley Advisor Lands Suitability Complaint San Jose, California financial advisor Julius Agbonbhase (CRD# 5591820) allegedly recommended an unsuitable investment strategy, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered…...
Paul Sweeney: $150K Complaint Against Kingsview Advisor
22+ hour, 20+ min ago (416+ words) carlsonlaw.com Paul Sweeney: $150K Complaint Against Kingsview Advisor A recent investor complaint against Wintersville, Ohio financial advisor Paul Sweeney (CRD# 6289017) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that…...
Manuel Lozano: Stifel Advisor Lands New Investor Complaint
5+ day, 22+ hour ago (240+ words) Pasadena, California financial advisor Manuel Lozano (CRD# 1004483) recently received an investor complaint alleging that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Stifel Nicolaus. Mr....
Ron Gelok: AAG Capital Advisor Faces $2mm Complaint
6+ day, 2+ hour ago (225+ words) Naples, Florida financial advisor Ron Gelok (CRD# 1403352) recently received an investor complaint alleging that his advice resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with AAG Capital and an investment advisor…...
Phillip Allen: Madison Avenue Securities Advisor Faces $393K Complaint
6+ day, 16+ hour ago (413+ words) carlsonlaw.com Phillip Allen: Madison Avenue Securities Advisor Faces $393K Complaint A recent investor complaint against Greenville, South Carolina financial advisor Phillip Allen (CRD# 1337542) alleges that he recommended an unsuitable investment. Financial Industry Regulatory Authority records show that he is registered…...
Marlo Carpio: US Bancorp Advisor Lands $2.1mm Complaint
6+ day, 17+ hour ago (354+ words) carlsonlaw.com Marlo Carpio: US Bancorp Advisor Lands $2.1mm Complaint Twin Lakes, Wisconsin financial advisor Marlo Carpio (CRD# 3161657) recently received an investor complaint alleging that he violated industry rules, resulting in seven-figure damages. Financial Industry Regulatory Authority records show that he…...
Darrell Delphen: $50K-$100K Complaint Against Cornerstone Advisor
1+ week, 6+ day ago (506+ words) carlsonlaw.com Darrell Delphen: $50K-$100K Complaint Against Cornerstone Advisor A recent investor complaint against Dallas, Texas financial advisor Darrell Delphen (CRD# 1603277) alleges that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker and…...
Trevor Flota: Northwestern Advisor Lands Suitability Complaint
1+ week, 6+ day ago (345+ words) carlsonlaw.com Trevor Flota: Northwestern Advisor Lands Suitability Complaint A recent investor complaint against Clayton, Missouri financial advisor Trevor Flota (CRD# 6468726) alleges that he made misrepresentations and unauthorized transactions. Financial Industry Regulatory Authority records show that he is registered as…...
Daniel Tacktill: Oppenheimer Advisor Receives $1.5mm Complaint
2+ week, 5+ day ago (403+ words) carlsonlaw.com Daniel Tacktill: Oppenheimer Advisor Receives $1.5mm Complaint Melville, New York financial advisor Daniel Tacktill (CRD# 4624409) recently received an investor complaint alleging that his conduct resulted in damages exceeding $1 million. Financial Industry Regulatory Authority records show that he is registered…...