Irvine, California financial advisor Jim Raia (CRD# 2397301) has received multiple investor complaints alleging that his advice resulted in damages....
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Jim Raia: $940K Complaint Against Emerson, Ex-Moloney Advisor
Irvine, California financial advisor Jim Raia (CRD# 2397301) has received multiple investor complaints alleging that his advice resulted in damages. Financial Industry Regulatory Authority records show that the former Moloney Securities representative is registered as a broker with Emerson Equity, doing business as Jim Raia Investment Group.
James Witkowski: $100K Complaint Against JW Wealth Advisor
Liberty, Missouri financial advisor James Witkowski (CRD# 4221931) recently received an investor complaint alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory records show that he is registered as a broker and an investment advisor with Cetera, doing business as JW Wealth Management.
Francis Cunningham: Ex-Stifel Advisor Lands Churning Complaint
Memphis, Tennessee financial advisor Francis Cunningham (CRD# 2105075) allegedly made unauthorized trades, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with B. Riley Wealth Management and B. Riley Wealth Advisors, respectively, having previously been registered with Stifel Nicolaus.
Blake Furgerson: Investor Complaint Against Stifel Advisor
Fort Worth, Texas financial advisor Blake Furgerson (CRD# 6055795) recently received an investor complaint alleging that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Stifel Nicolaus & Company, having previously been registered with Merrill Lynch.
Brad Davidson: College Yard Advisor Lands $475K Complaint
A recent investor complaint against Mission Viejo, California financial advisor Brad Davidson (CRD# 5142256) alleges that his investment advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Emerson Equity, doing business as College Yard Investments.
Robert Tudor: Voya Advisor Faces $100K-$500K Complaint
Buford, Georgia financial advisor Robert Tudor (CRD# 5670404) recently received an investor complaint alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Voya Financial Advisors.
Michael Pineda: $105K Complaint Against LifeMark Advisor
Denver, Colorado financial advisor Michael Pineda (CRD# 2337780) recently received an investor complaint alleging that he made unsuitable investment recommendations. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LifeMark Securities.
Melvin Feldman: $580K Complaint Against GMS Advisor
Jersey City, New Jersey financial advisor Melvin Feldman (CRD# 205924) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with The GMS Group.
Edwin Brant Frost IV & First Liberty: Ponzi Scheme Allegations
First Liberty Building & Loan, LLC and its founder-owner Edwin Brant Frost IV allegedly orchestrated a Ponzi scheme in which they defrauded hundreds of investors of at least $140 million in funds, according to charges filed by the Securities and Exchange Commission in July 2025.
Spartan Capital Securities: FINRA Files Fraud Allegations
Spartan Capital Securities (CRD# 146251) allegedly engaged in a years-long fraud in which it “defrauded customers by engaging in widespread churning, generating millions in revenue and causing customers millions in harm,” according to a complaint filed by the Financial Industry Regulatory Authority. In addition to the firm, the enforcement action also names as respondents… Read More »
