Mark Barrand (Ameriprise Financial) Complaint Filed “FINRA”

Haselkorn & Thibaut, P.A., a national investor law firm, is investigating claims of unsuitable investment recommendations against Mark Barrand who is an investment advisor with Ameriprise Financial.  Former clients have made allegations that Barrand misrepresented investments and did follow suitability standards for clients. Mark Allen Barrand, the broker at the center of these disputes, is …

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source https://financialadvisorcomplaints.com/mark-barrand-ameriprise-financial-complaint-filed-finra/

Mutual of Omaha Advisor Matthes to Serve 63 Month Prison Term; Pay $2.4M in Restitution

The investigation into Edward E. Matthes’ activities was initiated when a client sounded off FINRA (Financial Industry Regulatory Authority) in March 2019 upon receipt of an account statement that looked fake to him. Apart from the Securities Exchange Commission (SEC), the Oconomowoc Police Department, the FBI and the Labor Department’s Employee Benefits Security Administration also …

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source https://financialadvisorcomplaints.com/mutual-of-omaha-advisor-matthes-to-serve-63-month-prison-term-pay-2-4m-in-restitution/

Kestra Investment Services Complaint: Arbitration Claim Against James Daughtry For Losses

The investment fraud attorneys at Haslkorn & Thibaut are investigating James Blake Daughtry while at Kestra Investment Services for alleged financial losses suffered by investors.  Any clients or anyone having information on James Daughtry should contact our offices immediately. About James Blake Daughtry James Daughtry, now a former broker of the firm, has been named in …

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source https://financialadvisorcomplaints.com/kestra-investment-services-complaint/

Morgan Stanley Advisor Viyella BARRED After Selling Away Allegations and Lawsuits

Morgan Stanley discharged advisor Candido Viyella in 2020 “after allegations were made accusing him of participation in an outside investment involving clients for which the registered representative had a beneficial ownership interest.” He had been associated with Morgan Stanley for 11 years prior to the discharge. Record of Candido Viyella A peek into his broker …

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source https://financialadvisorcomplaints.com/morgan-stanley-advisor-viyella-barred-after-selling-away-allegations-and-lawsuits/

Geneos Wealth Management: Joseph Tennison Barred By SEC For Selling Phony Investments in Humanitarian Project

Former Geneos Wealth Management financial advisor Bradley Joseph Tennison has been barred by the Securities and Exchange Commission (SEC). He has been sentenced to serving supervised probation for 3 years. He also has to pay almost $8.2 million in restitution for his role in the fraud revolving around selling unregistered securities in a supposedly religious …

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source https://financialadvisorcomplaints.com/geneos-wealth-management-joseph-tennison-barred-by-sec-for-selling-phony-investments-in-humanitarian-project/

Daryl Banks Found Guilty In $25 Million Nationwide Investment Fraud

An investment scheme by Daryl Banks of Port St. Lucie, Florida allegedly defrauded investors out of more than $25 Million. Banks had been barred from the securities industry by the Financial Industry Regulatory Authority (FINRA) in 2010 when he was a registered securities broker. Unfazed by the reverse, Banks, now 51, launched Dominion Private Client …

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source https://financialadvisorcomplaints.com/daryl-banks-found-guilty-in-25-million-nationwide-investment-fraud-investment-advisor-and-attorney-await-sentencing/

Bradley Tennison: Geneos Wealth Management Advisor Barred For Fraud

Former Geneos Wealth Management broker Bradley Joseph Tennison has been barred by the Securities and Exchange Commission (SEC). He has been sentenced to serving supervised probation for 3 years. He also has to pay almost $8.2 million in restitution for his role in the fraud revolving around selling unregistered securities in a supposedly religious and …

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source https://financialadvisorcomplaints.com/geneos-wealth-management-advisor-barred-for-fraud/