Atlanta, Georgia financial advisor Tim Dorothy (CRD# 6600401) recently received an investor complaint alleging that his advice resulted in damages....
Read MoreAuthor Archives: chase@carlson-law.com
Tim Dorothy: Raymond James Advisor Faced Suitability Complaint
Atlanta, Georgia financial advisor Tim Dorothy (CRD# 6600401) recently received an investor complaint alleging that his advice resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Raymond James & Associates.
Gary Frisch: $112K Complaint Against Landmark Advisor
A recent investor complaint against Surprise, Arizona financial advisor Gary Frisch (CRD# 5037164) alleges that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Cetera Wealth Services and an advisor with Cetera Investment Advisers, doing business as Landmark Financial.
Ann Reagan: Landmark Advisor Faces 6-Figure Complaint
Surprise, Arizona financial advisor Ann Reagan (CRD# 5597215) allegedly made unauthorized trades, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Cetera, doing business as Landmark Financial Advisors.
Joshua Helvie: Why Was Vanderbilt Advisor Fired by LPL?
Zionsville, Indiana financial advisor Joshua Helvie (CRD# 2894058) was recently fired by his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former LPL Financial representative is currently registered as a broker with Vanderbilt Securities and an investment advisor with Vanderbilt Advisory Services.
Andy Tressler: Why Was Modern Capital Advisor Fired by Trident?
Raleigh, North Carolina financial advisor Andy Tressler (CRD# 2776349) was recently terminated from his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Trident Partners representative is currently registered as a broker and advisor with Modern Capital Securities.
Stephen Patterson: $848K Complaint Against Alden Advisor
A recent investor complaint against Southlake, Texas financial advisory Stephen Patterson (CRD# 7206447) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with J. Alden Associates and an investment advisor with Alden Investment Group.
Andres Fernandez: $1.4mm Complaint Against Wealth Enhancement Advisor
A recent investor complaint against Great Neck, New York financial advisor Andres Fernandez (CRD# 5868791) alleges that his conduct resulted in damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Charles Schwab broker is currently registered as an investment advisor with Wealth Enhancement Advisory Services.
Reid & Rudiger Complaint: FINRA Alleges Churning, Excessive Trading
A disciplinary proceeding released by the Financial Industry Regulatory Authority (FINRA) Department of Enforcement alleges that broker-dealer firm Reid & Rudiger “churned and/or excessively traded 20 customers’ accounts” over a period of six years. In addition to naming the firm as respondent, FINRA alleges that representatives Edward Rudiger (CRD# 2118724) and Clifford Reid (CRD#… Read More »
Danish Rauf: FINRA Bars Ex-US Bancorp Advisor
Former Des Plaines, Illinois financial advisor Danish Rauf (CRD# 5006655) was recently sanctioned and barred in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with US Bancorp Investments.
Mitch Arnold: $400K Complaint Against LPL Advisor
A recent investor complaint against Lake Mary, Florida financial advisor Mitch Arnold (CRD# 1721111) alleges 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 LPL Financial, doing business as Financial Services of Central Florida.
