Kirkland, Washington financial advisor Nini Wu (CRD# 6572622) recently received an investor complaint alleging that her advice resulted in damages....
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Nini Wu: Morgan Stanley Advisor Faces Investor Complaint
Kirkland, Washington financial advisor Nini Wu (CRD# 6572622) recently received an investor complaint alleging that her advice resulted in damages. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Morgan Stanley, having previously been registered with Cetera.
Katy Zhao: $50K Complaint Against Morgan Stanley Advisor
A recent investor complaint against Pasadena, California financial advisor Katy Zhao (CRD# 5264406) 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 Morgan Stanley.
Jason Li: Madison Partners Advisor Fired by Merrill Lynch
Lacey, Washington financial advisor Jason Li (CRD# 6314460) was recently fired by a former member firm in connection with alleged misconduct. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Merrill Lynch broker is currently registered as an investment advisor with Madison Partners.
Deb Mesle: Why Did Huntleigh Advisor Resign from Merrill Lynch?
Chesterfield, Missouri financial advisor Deb Mesle (CRD# 849766) resigned from a former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Merrill Lynch representative is registered as a broker with Huntleigh Securities Corporation and an advisor with Huntleigh Advisors.
Amos Akinyooye: Vanderbilt, Aston Advisor Fired by Cetera
Jericho, New York financial advisor Amos Akinyooye (CRD# 5569402) was fired by a former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Cetera representative is registered as a broker and an investment advisor with Vanderbilt Securities and Vanderbilt Advisory Services, respectively, doing business as Aston… Read More »
Stephen Wiedemann: $400K Complaint Against Wells Fargo Advisor
Newport Beach, California financial advisor Stephen Wiedemann (CRD# 2212349) allegedly made unsuitable investment recommendations, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Wells Fargo.
Jacob Harvey: $100K-$500K Complaint Against Realta Advisor
A recent investor complaint against Neosho, Missouri financial advisor Jacob Harvey (CRD# 6410027) alleges that his advice resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Realta Equities and an investment advisor with Realta Investment Advisors.
Matthew Chancey: Realta Advisor Faces 6-Figure Complaint
Winter Park, Florida financial advisor Matthew Chancey (CRD# 5645874) 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 Realta Equities and Realta Investment Advisors, respectively.
Erik Antener: $150K Complaint Against Park Avenue Advisor
Austin, Texas financial advisor Erik Antener (CRD# 5329953) 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 Park Avenue Securities.
Michael Pak: $200K Complaint Against Citigroup Advisor
Bronx, New York financial advisor Michael Pak (CRD# 4052829) allegedly recommended an unsuitable structured note, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Citigroup Global Markets.
