Posts Tagged ‘IRA’
Christopher Phillips Facing Allegations Involving an IRA
Christopher Phillips (CRD #4761544), a broker and investment adviser registered with RBC Capital Markets, is involved in a customer dispute regarding overconcentration of certain securities, according to his BrokerCheck record, accessed on December 28, 2020. On November 6, 2020, a client alleged that he suffered a net loss of more than 65% of his IRA…
Read MorePete Monson, of Van Clemens & Co., Suspended for Risky Trading in Client IRA Account
Pete Monson (CRD#: 2203309), a broker with Van Clemens & Co. (CRD#:6914) in Minneapolis, Minnesota, has been suspended by the Financial Industry Regulatory Authority (FINRA), according to his BrokerCheck record accessed on April 1, 2020. How did this come about? On February 4, 2020, Pete Monson consented to FINRA’s findings that he engaged in unsuitable…
Read MoreCary Kievman: Broker Spotlight
California-based Ameriprise broker/adviser Cary Kievman is the subject of settled or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against Mr. Kievman (CRD# 2804357). Cary Kievman has spent seventeen years in the securities industry and has been registered with Ameriprise Financial Services in Westlake Village, California…
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