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Articles Tagged with unsuitable investments

Walter Valenzuela (CRD# 2280224), a registered representative with Kestra Investment Services LLC (CRD#: 42046)  and a Registered Investment Adviser (RIA) with Kestra Private Wealth Services LLC (CRD#: 155193) in San Diego, California, is currently involved in more than $1 million worth of investor disputes, according to his BrokerCheck record accessed on July 3, 2020. This […]

Tom Thacker (CRD#: 2041461), a registered representative with Oppenheimer & Co. Inc. (CRD#: 249) in Beachwood, Ohio, is currently involved in an investor dispute over unsuitable investments in which a customer is seeking more than $400,000 in damages, according to his BrokerCheck record accessed on June 22, 2020. How did this complaint against Tom Thacker […]

Kevin McCoy (CRD#: 4557189), a broker with Cetera Investment Services LLC (CRD#: 15340) and a Registered Investment Adviser (RIA) with Cetera Investment Advisers LLC (CRD#: 105644), both of The Woodlands, Texas, is currently involved in two pending investor disputes over structured products, according to his BrokerCheck record accessed on June 22, 2020. What led to […]

Geary Mason (CRD#: 1863783), a registered representative with Stifel, Nicolaus & Company, Incorporated (CRD#: 793) in New Orleans, Louisiana, is currently involved in an investor dispute over unsuitable investments, according to his BrokerCheck record accessed on June 23, 2020. What happened to lead to this complaint against Geary Mason? Read on to learn more.  On […]

Kevin Rainwater (CRD#: 3098443), a registered representative with Arkadios Capital (CRD#: 282710) in Atlanta, Georgia, is currently involved in four pending customer disputes over unsuitable investments, according to his BrokerCheck record accessed on June 10, 2020. The customers are seeking at least $875,000 in damages. Read on to learn more. On April 26, 2019, a […]

Jim Parrelly (CRD#: 728368), a registered representative with Investment Planners, Inc. (CRD#: 18557) in Dearborn, Michigan, has been suspended by the Financial Industry Regulatory Authority (FINRA). This comes after he became involved in a $500,000 customer dispute, according to his BrokerCheck record accessed on June 10, 2020. Read on to learn more. On April 1, […]

Gregory Tucker (CRD#: 501274), a registered representative with D.A. Davidson & Co. (CRD#: 199) in Des Moines, Iowa, is currently involved in three pending customer disputes over unsuitable investments, including bonds, according to his BrokerCheck record accessed on June 1, 2020. Read on to learn more about these three pending customer complaints against Gregory Tucker. […]

Dennis Haywood (CRD#: 5850275), a registered representative with Crown Capital Securities, L.P. (CRD#: 6312) in Land O’ Lakes, Florida, is currently involved in three pending customer disputes over unsuitable investment recommendations, according to his BrokerCheck record accessed on May 27, 2020. The investments at issue are variable annuities, Real Estate Investment Trusts, and Business Development […]

Kerri Jamison (CRD#: 4348584), a registered representative with Newbridge Securities Corporation (CRD#: 104065) in Mesa, Arizona, is currently involved in three pending customer disputes, according to their BrokerCheck record accessed on May 26, 2020. Read on to learn more about these complaints against Kerri Jamison. On January 7, 2016, clients alleged that Kerri Jamison made […]

Robby Jamail (CRD#: 1877838), a registered representative with Raymond James & Associates, Inc. (CRD#: 705) in Houston, Texas, is currently involved in a pending customer dispute in which a client is seeking $100,000 in damages, according to his BrokerCheck record accessed on May 27, 2020. Read on to learn more. On April 13, 2020, a […]

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