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News
Paul Sweeney: $150K Complaint Against Kingsview Advisor
18+ hour, 12+ 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…...
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…...
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…...
Galen Foster: Did Stifel Advisor Make Unauthorized Trades?
2+ week, 5+ day ago (370+ words) carlsonlaw.com Galen Foster: Did Stifel Advisor Make Unauthorized Trades? Nashville, Tennessee financial advisor Galen Foster (CRD# 1394526) has received multiple investor complaints alleging that his conduct resulted in damages in the customer’s account. Financial Industry Regulatory Authority records show that…...
Jorge Montealegre: Fraud Complaint Against Oppenheimer Advisor
2+ week, 5+ day ago (433+ words) carlsonlaw.com Jorge Montealegre: Fraud Complaint Against Oppenheimer Advisor Coral Gables, Florida financial advisor Jorge Montealegre (CRD# 1799139) allegedly recommended an unsuitable investment strategy, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as…...