Gary Kenneth Rasmussen is registered with J.W. Cole Financial, and previously registered with Financial Advisors of America. Rasmussen is believed to have been the subject of one or more customer complaints related to alleged recommendations of unsuitable investment products. See: FINRA brokercheck. If you are an investor who has suffered losses with Rasmussen, J.W. Cole […]

Dion Padilla was registered with NEXT Financial Group, LLC and Padilla is believed to have been the subject of a FINRA regulatory action based on allegations relating to variable annuity transactions that may have included misrepresentations and/or unauthorized transactions. See: FINRA brokercheck. If you are an investor who has suffered losses with Padilla at NEXT

Thomas Oliphant was registered with LPL Financial and conducted business under the name of One Advocate Group and Grand Purpose Advocate. Oliphant is believed to have been involved with outside business activities and was discharged and terminated by LPL Financial and also had at least one prior customer complaint disclosure on his record. See: FINRA

Onwallstreet.com on 6/29/17 reported that the SEC is now probing Morgan Stanley and Barclays bankers on Puerto Rico bonds and the SEC may take action for their roles in Puerto Rico bond sales before a worsening financial crisis sent Puerto Rico hurtling toward bankruptcy. If you are an investor who has suffered losses with Morgan

In Financial Advisor IQ, on 6/14/17, it was reported that a former Morgan Stanley financial consultant was the subject of a securities regulatory action by the Financial Industry Regulatory Authority (FINRA) alleging that he had concealed losses in a client’s investment account. According to the article, FINRA alleged that Kim Dee Isaacson had misrepresented the