A disciplinary proceeding released by the Financial Industry Regulatory Authority (FINRA) Department of Enforcement alleges that broker-dealer firm Reid &...
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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.
Nick Photiadis: $288K REIT Complaint Against LPL Advisor
Paramus, New Jersey financial advisor Nick Photiadis (CRD# 2978120) 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 LPL Financial.
Jim Ratigan: Rockefeller Advisor Lands Investor Complaint
Doral, Florida financial advisor Jim Ratigan (CRD# 2164078) allegedly made misrepresentations of material facts, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Seabrook Partners and an investment advisor with Rockefeller Financial.
Chris Chlupp: Baird Advisor Received Investor Complaint
A recent, denied investor complaint against West Bend, Wisconsin financial advisor Chris Chlupp (CRD# 2950578) alleges that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Robert W. Baird.
Mark Kissinger: Suitability Complaint Against NYLife Advisor
A recent investor complaint against Frisco, Texas financial advisor Mark Kissinger (CRD# 4546631) alleges that he recommended an unsuitable investment. Financial Industry Regulatory Authority records show that he is registered as a broker with NYLife Securities and an investment advisor with Eagle Strategies, doing business as Kissinger Financial Services.
Steve Wilkinson: $325K Complaint Against Wilkinson Wealth Advisor
Oakland, California financial advisor Steve Wilkinson (CRD# 1180321) allegedly did not act in a customer’s best interest, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, doing business as Wilkinson Wealth Management.
Jacob Adams: $500K Complaint Against Ex-Realized Financial Advisor
A recent investor complaint against Austin, Texas financial advisor Jacob Adams (CRD# 4975889) 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 Principal Securities, having previously been registered with Realized Financial.
Justin Hoyt: Why Did Osaic Advisor Resign from Ameriprise?
Gilbert, Arizona financial advisor Justin Hoyt (CRD# 4690876) recently resigned from his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Ameriprise Financial Services representative is currently registered as a broker and an investment advisor with Osaic Wealth.
