Murray, Utah financial advisor Ray DeWitt (CRD# 2894063) allegedly violated federal securities law, according to a recent investor complaint. Financial...
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Ray DeWitt: Realta Advisor Faces Investor Complaint
Murray, Utah financial advisor Ray DeWitt (CRD# 2894063) allegedly violated federal securities law, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Realta Equities and an investment advisor with both Realta Investment Advisors and Transce3nd, doing business as 1031 DST Group.
David Kangas: $1.25mm Complaint Against Cornerstone Advisor
Richmond, Virginia financial advisor David Kangas (CRD# 6591398) allegedly recommended an unsuitable investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with WealthForge Securities, doing business as Cornerstone Real Estate Investment Services.
Steven Kibbel: Why Did LPL Fire Shorebreak Advisor?
Nashville, Tennessee financial advisor Steven Kibbel (CRD# 6800914) was recently terminated by a former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former LPL Financial broker is currently registered as an investment advisor with Shorebreak Capital.
Anne Davidson: Investor Complaint Against Wells Fargo Advisor
A recent investor complaint against Dallas, Texas financial advisor Anne Davidson (CRD# 728189) alleges that her conduct resulted in damages. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Wells Fargo Clearing Services and Wells Fargo Advisors, respectively.
John Pucci: Suitability Complaint Against Craft Capital Advisor
Houston, Texas financial advisor John Pucci (CRD# 6120523) has received multiple investor complaints alleging that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Craft Capital Management, having previously been registered with Aegis Capital.
Steven Rini: $234K Complaint Against Morgan Stanley Advisor
Westlake, Ohio financial advisor Steven Rini (CRD# 4255247) recently received an investor complaint alleging that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Morgan Stanley, whose website describes him as a member of The Rini Brahler Group, a… Read More »
Richard Routie: FINRA Bars Ex-Cetera, Ameriprise Advisor
Former Orlando, Florida financial advisor Richard Routie (CRD# 4379905) was recently sanctioned and suspended in connection with allegations that he borrowed money from clients. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Cetera Financial Specialists, before which he was registered with Ameriprise Financial Services.
Stephen Farmer: $200K Complaint Against Morgan Stanley Advisor
A recent, denied investor complaint against San Francisco financial advisor Stephen Farmer (CRD# 6583874) alleged that he omitted material facts regarding an investment. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Morgan Stanley.
David Levinson: $400K Complaint Against Ex-WestPark Advisor
Lisle, Illinois financial advisor David Levinson (CRD# 705929) 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 with American Trust Investment Services and an investment advisor with Chicago Capital Management Advisors.
Josiah Lederman: $500K-$1mm Complaint Against Concorde Advisor
Fort Wayne, Indiana financial advisor Josiah Lederman (CRD# 6871359) allegedly recommended an unsuitable investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Concorde Investment Services and an investment advisor with Concorde Asset Management, doing business as Lederman Financial Services.
