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News
Julius Agbonbhase: Morgan Stanley Advisor Lands Suitability Complaint
19+ hour, 49+ 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…...
Manuel Lozano: Stifel Advisor Lands New Investor Complaint
5+ day, 18+ 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
5+ day, 22+ 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, 12+ 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, 13+ 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…...
Mark Korona: UBS Financial Services Advisor Faces $15mm Complaint
6+ day, 14+ hour ago (341+ words) carlsonlaw.com Mark Korona: UBS Financial Services Advisor Faces $15mm Complaint A recent investor complaint against Lexington, Kentucky financial advisor Mark Korona (CRD# 4747579) alleges that his advice resulted in eight-figure damages. Financial Industry Regulatory Authority records show that he is registered…...
Darrell Delphen: $50K-$100K Complaint Against Cornerstone Advisor
1+ week, 5+ 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, 5+ 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…...
Warren Prehmus: BIP Wealth Advisor Faces $1.8mm Complaint
1+ week, 6+ day ago (461+ words) carlsonlaw.com Warren Prehmus: BIP Wealth Advisor Faces $1.8mm Complaint Peachtree Corners and Norcross, Georgia financial advisor Warren Prehmus (CRD# 1875927) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as…...
Walter Putnam: Northwestern Advisor Faced $65K Complaint
1+ week, 6+ day ago (396+ words) carlsonlaw.com Walter Putnam: Northwestern Advisor Faced $65K Complaint A recent, denied investor complaint against Tampa, Florida financial advisor Walter Putnam (CRD# 1274433) alleged that he recommended an unapproved investment. Financial Industry Regulatory Authority records show that he is registered as a…...