A recent, denied investor complaint against San Diego, California financial advisor Rick Abbe (CRD# 1366957) alleges that his advice resulted...
Read MoreAuthor Archives: chase@carlson-law.com
Chris Rogers: $500K Complaint Against Ridgegate Advisor
A recent investor complaint against Englewood, Colorado financial advisor Chris Rogers (CRD# 4453653) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Emerson Equity and an investment advisor with Ridgegate Advisors.
Peyton Ethridge: Patrick Capital Advisor Faces Suitability Complaint
Atlanta, Georgia financial advisor Peyton Ethridge (CRD# 6634147) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Patrick Capital Markets, doing business as Corvi Capital.
Jim Raia: $940K Complaint Against Emerson, Ex-Moloney Advisor
Irvine, California financial advisor Jim Raia (CRD# 2397301) has received multiple investor complaints alleging that his advice resulted in damages. Financial Industry Regulatory Authority records show that the former Moloney Securities representative is registered as a broker with Emerson Equity, doing business as Jim Raia Investment Group.
James Witkowski: $100K Complaint Against JW Wealth Advisor
Liberty, Missouri financial advisor James Witkowski (CRD# 4221931) recently received an investor complaint alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory records show that he is registered as a broker and an investment advisor with Cetera, doing business as JW Wealth Management.
Francis Cunningham: Ex-Stifel Advisor Lands Churning Complaint
Memphis, Tennessee financial advisor Francis Cunningham (CRD# 2105075) 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 B. Riley Wealth Management and B. Riley Wealth Advisors, respectively, having previously been registered with Stifel Nicolaus.
Blake Furgerson: Investor Complaint Against Stifel Advisor
Fort Worth, Texas financial advisor Blake Furgerson (CRD# 6055795) 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 Stifel Nicolaus & Company, having previously been registered with Merrill Lynch.
Brad Davidson: College Yard Advisor Lands $475K Complaint
A recent investor complaint against Mission Viejo, California financial advisor Brad Davidson (CRD# 5142256) alleges that his investment advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Emerson Equity, doing business as College Yard Investments.
Robert Tudor: Voya Advisor Faces $100K-$500K Complaint
Buford, Georgia financial advisor Robert Tudor (CRD# 5670404) 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 and an investment advisor with Voya Financial Advisors.
Michael Pineda: $105K Complaint Against LifeMark Advisor
Denver, Colorado financial advisor Michael Pineda (CRD# 2337780) 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 LifeMark Securities.
Melvin Feldman: $580K Complaint Against GMS Advisor
Jersey City, New Jersey financial advisor Melvin Feldman (CRD# 205924) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with The GMS Group.
