Murray, Utah financial advisor Ray DeWitt (CRD# 2894063) allegedly violated federal securities law, according to a recent investor complaint. Financial...
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Thaddeus Eubanks: Edward Jones Advisor Faces $2.5mm Complaint
Yuba City, California financial advisor Thaddeus Eubanks (CRD# 5888014) recently received an investor complaint alleging that his conduct resulted in more than $2 million in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Edward Jones.
Nate Goad: J. Alden Advisor Faces $3.8mm Complaint
Largo, Florida financial advisor Nate Goad (CRD# 5421740) has received multiple investor complaints alleging his conduct resulted in six- or seven-figure damages. Financial Industry Regulatory Authority record show that he is registered as a broker with J. Alden Associates and an investment advisor with Alden Investment Group.
Steve Brundage: $1.2mm Complaint Against Ameriprise Advisor
Las Vegas, Nevada financial advisor Steve Brundage (CRD# 2597779) recently received an investor complaint alleging that his conduct resulted in damages of more than $1 million. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Ameriprise Financial Services.
David Waal: Emerson Advisor Faces $2.3mm Complaint
Irvine, California financial advisor David Waal (CRD# 1226437) recently received an investor complaint alleging that he committed fraud. Financial Industry Regulatory Authority records show that he is registered as a broker with Emerson Equity, having previously been registered with Orchard Securities.
Nick Iarrapino: Wells Fargo Advisor Resigned from Morgan Stanley
Hackensack, New Jersey financial advisor Nick Iarrapino (CRD# 7588258) recently resigned from his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Wells Fargo Advisors Financial Network, having previously been registered with Morgan Stanley.
Rikki Foster: $700K Complaint Against RegalStone Advisor
A recent investor complaint against Roseville, California financial advisor Rikki Foster (CRD# 6075051) alleges 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 Concorde Investment Services and Concorde Asset Management, respectively, doing business as RegalStone Wealth Management.
Jonathan Malinger: Wedbush Advisor Faces Negligence Allegations
Pasadena, California financial advisor Jonathan Malinger (CRD# 5201626) recently received an investor complaint alleging that he committed elder abuse. Financial Industry Regulatory Authority records show that he is registered as a broker with Wedbush Securities.
Vincent Ferrara: Ameriprise Advisor Lands $2mm Complaint
Garden City, New York financial advisor Vincent Ferrara (CRD# 1791902) allegedly misappropriated funds, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Ameriprise Financial Services, having previously been registered with Merrill Lynch.
Jason Pitts: $175K Complaint Against Former Cambridge Advisor Denied
A recent, denied investor complaint against Ashburn, Virginia financial advisor Jason Pitts (CRD# 2150845) alleged that he made an unauthorized transaction. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Wells Fargo Advisors, having previously been registered with Cambridge Investment Research.
Anita Lester: $200K Complaint Against Ex-Berthel Advisor
Gurnee, Illinois financial advisor Anita Lester (CRD# 4478199) recently received an investor complaint alleging that her conduct resulted in six-figure damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Berthel Fisher & Company broker is currently registered as an investment advisor with Brookstone Wealth Advisors.
