Eagle, Idaho financial advisor Robert Wilson (CRD# 6394736) was recently fired by his prior member firm in connection with alleged...
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Juan Sosa: FINRA Bars Ex-SagePoint Advisor Over Conversion Allegations
Former Studio City, California financial advisor Juan Sosa (CRD# 4059846) has been barred in connection with allegations that he converted customer funds for his own personal use. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Independent Financial Group, doing business as Sosa Financial Strategies
Joe Cucinotta: FINRA Suspends Independent Financial Advisor
Radnor, Pennsylvania financial advisor Joe Cucinotta (CRD# 3272604) was recently suspended in connection with allegations that he falsified customer signatures. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Centaurus Financial, doing business as Independent Financial Advisors.
Robert Omohundro: LCORE Advisor Lands Suitability Complaint
Atlanta financial advisor Robert Omohundro (CRD# 2415942) has received multiple investor complaints alleging that he recommended unsuitable investments, resulting in losses. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Alexander Capital, doing business as LCORE Wealth Management.
Lucy Cueller: Suitability Complaint Against Northpoint Advisor
Warrenville, Illinois financial advisor Lucy Cueller (CRD# 3089802) recently received an investor complaint alleging that she made unsuitable investment recommendations. Financial Industry Regulatory Authority records show that she is currently registered as a broker and an investment advisor with Osaic Wealth, doing business as Northpoint Financial Group.
Paul Trimber: FINRA Bars Ex-Wells Fargo Advisor
Former Alexandria, Virginia financial advisor Paul Trimber (CRD# 2765260) has been sanctioned and barred in connection with allegations that he executed unauthorized transfers of client funds. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Wells Fargo Clearing Services.
Craig Nomberg: $500K SOAEX Complaint Against Ex-David Lerner Advisor
A recent investor complaint against Boca Raton, Florida financial advisor Craig Nomberg (CRD# 4293515) alleges that he recommended an unsuitable investment in SOAEX. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Wells Fargo Clearing Services, having previously been registered with David Lerner Associates.
Mike DePaul: Newport Wealth Advisor Receives 6-Figure Complaint
Newport Beach financial advisor Mike DePaul (CRD# 4540570) recently received an investor complaint alleging that his advice led to six-figure losses. Financial Industry Regulatory Authority records show that he is currently registered as a broker with Centaurus Financial and an investment advisor with Newport Wealth Advisors.
Stevan Hoffman: Oil & Gas Complaint Against Cambridge Advisor
Danville, California financial advisor Stevan Hoffman (CRD# 4552883) allegedly recommended an unsuitable investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Cambridge Investment Research.
Mark Bloom: Legacy Capital Advisor Faces $100K Complaint
A recent investor complaint against Atlanta, Georgia financial advisor Mark Bloom (CRD# 6933619) alleges that his conduct led to six-figure damages. Financial Industry Regulatory Authority records show that he is a broker with Avantax Investment Services and an investment advisor with Avantax Advisory Services, doing business as Legacy Capital Advisors.
Jason Mitsuda: $499K Complaint Against Former Equitable Advisor
Honolulu financial advisor Jason Mitsuda (CRD# 6718373) 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 with Pruco Securities and an investment advisor with Prudential Securities, having previously been registered with Ameriprise Financial Services and Equitable Advisors.
