Former Orlando, Florida financial advisor Richard Routie (CRD# 4379905) was recently sanctioned and suspended in connection with allegations that he...
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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.
NouaChi Vang: LPL Advisor Faces 6-Figure Complaint
Maple Grove, Minnesota financial advisor NouaChi Vang (CRD# 5090132) recently received an investor complaint alleging that she misappropriated funds. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with LPL Financial, doing business as NouaChi Vang Financial Services.
Rich Barber: Glendale Securities Advisor Faces $40mm Complaint
A recent investor complaint against Sherman Oaks, California financial advisor Rich Barber (CRD# 1298800) alleges that his conduct resulted in eight-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with TechSpeed Securities and Glendale Securities, having previously been registered with Wilson-Davis Company.
Paul Meyer: FINRA Suspends RBC Advisor over Discretionary Trades
Minnetonka, Minnesota financial advisor Paul Meyer (CRD# 3062534) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the RBC Capital Markets broker and investment advisor has also received several investor complaints.
Kyle Critcher: Ex-LPL Advisor Suspended; Bond Allegations
Former Fort Mill, South Carolina financial advisor Kyle Critcher (CRD# 7351555) was recently sanctioned and suspended in connection with allegedly negligent bond recommendations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with LPL Financial.
Doug McCauley: FINRA Bars Ex-Madison Ave Advisor
Former Arlington, Virginia financial advisor Doug McCauley (CRD# 1257811) was recently sanctioned and barred in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Madison Avenue Securities broker is currently not registered with any state or firm.
Josh Jaffe: Longbridge, Ex-Ameriprise Advisor Faced $202K Complaint
A recent, denied investor complaint against Newark, Ohio financial advisor Josh Jaffe (CRD# 5085863) alleged 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 Steward Partners, whose website describes him as a member of the firm’s Longbridge Wealth… Read More »
