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Author Archives: chase@carlson-law.com

Jonathan Upton: LPL Advisor Faces $250K REIT Complaint

By Chase Carlson |

Multiple investor complaints against Louisville, Kentucky financial advisor Jonathan Upton (CRD# 4559794) allege that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker with LPL Financial and an investment advisor with Keystone Financial Group.

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Joy Simar: $203K Complaint Against LPL/Pruco Advisor

By Chase Carlson |

McKinney, Texas financial advisor Joy Simar (CRD# 6147731) recently received an investor complaint alleging that her conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with LPL, which recently launched a strategic partnership with Prudential.

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Dan Schmid: Why Did Advisor Resign from Northwestern Mutual?

By Chase Carlson |

Minneapolis, Minnesota financial advisor Dan Schmid (CRD# 6658306) recently resigned from Northwestern Mutual Investment Services in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is now registered as a broker with Equitable Advisors.

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Ozzie Ramos: $80K Bond Complaint Against WIS Advisor

By Chase Carlson |

Westlake Village, California financial advisor Ozzie Ramos (CRD# 2572345) recently received an investor complaint alleging that his advice resulted in losses. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Western International Securities, having previously been registered with Citigroup Global Markets.

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Bob Westbrook: Cetera Advisor Faces Suitability Complaint

By Chase Carlson |

Scottsdale, Arizona financial advisor Bob Westbrook (CRD# 1189454) recently received an investor complaint alleging that he made unsuitable investment recommendations. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Cetera Advisor Networks, as well as a representative of Westbrook Financial Services.

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Scott Meador: $1mm Complaint Against UBS Advisor

By Chase Carlson |

Naples, Florida financial advisor Scott Meador (CRD# 2202512) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with UBS Financial Services.

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Michael Sandberg: Aegis Advisor Fired by Ameriprise

By Chase Carlson |

Boca Raton financial advisor Michael Sandberg (CRD# 1949867) was recently fired by Ameriprise Financial Services in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is now registered as a broker and an investment advisor with Aegis Capital Corporation.

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Richard Michalski: Laidlaw Advisor Faces $399K Complaint

By Chase Carlson |

New York City financial advisor Richard Michalski (CRD# 4588706) recently received an investor complaint alleging that his conduct resulted in damages exceeding $300,000. Financial Industry Regulatory Authority records show that he is registered as a broker with Laidlaw & Company, and that he has previously been sanctioned by the Securities and Exchange Commission.

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Brandon Capps: Velocity Wealth Advisor Lands $750K Complaint

By Chase Carlson |

A recent investor complaint against Claremont, California financial advisor Brandon Capps (CRD# 4990930) 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 Park Avenue Securities, doing business as Velocity Wealth Management.

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Peter Waldron: $1mm Complaint Against Wells Fargo Advisor

By Chase Carlson |

A recent investor complaint against Irvine, California financial advisor Peter Waldron (CRD# 4230510) alleges that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Wells Fargo Clearing Services.

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Latest Blog Posts
  • Jonathan Upton: LPL Advisor Faces $250K REIT Complaint

    Multiple investor complaints against Louisville, Kentucky financial advisor Jonathan Upton (CRD# 4559794) allege that he recommended unsuitable investments. Financial Industry...

    Read More
  • Joy Simar: $203K Complaint Against LPL/Pruco Advisor

    McKinney, Texas financial advisor Joy Simar (CRD# 6147731) recently received an investor complaint alleging that her conduct resulted in six-figure...

    Read More
  • Dan Schmid: Why Did Advisor Resign from Northwestern Mutual?

    Minneapolis, Minnesota financial advisor Dan Schmid (CRD# 6658306) recently resigned from Northwestern Mutual Investment Services in connection with alleged rule...

    Read More
  • Ozzie Ramos: $80K Bond Complaint Against WIS Advisor

    Westlake Village, California financial advisor Ozzie Ramos (CRD# 2572345) recently received an investor complaint alleging that his advice resulted in...

    Read More
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