Murray, Utah financial advisor Ray DeWitt (CRD# 2894063) allegedly violated federal securities law, according to a recent investor complaint. Financial...
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Bill King: $500K-$750K Complaint Against Ex-Merrill Advisor
Several recent investor complaints against former Vero Beach financial advisor Bill King (CRD# 1432593) allege that an options trading strategy led to six- or seven-figure losses. Financial Industry Regulatory Authority records show that he was most recently registered as a broker and an investment advisor with Merrill Lynch.
Darren Grossman: GM Financial Advisor Faces $150K Complaint
Bala Cynwyd financial advisor Darren Grossman (CRD# 5762586) is involved in an investor complaint alleging his investment advice resulted in damages of more than $100,000. Records maintained by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with Centaurus Financial, doing business as GM Financial Consultants.
Keith Offel: Stonehaven Financial Advisor Lands $70K Complaint
Placentia, California and Navarre, Florida financial advisor Keith Offel (CRD# 2570946) allegedly recommended an unsuitable investment, according to a recent investor complaint that was denied. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Cambridge Investment Research, doing business as Stonehaven Financial Group.
Tom Avant: Wells Fargo Advisor Faces Suitability Complaint
El Reno, Oklahoma financial advisor Tom Avant (CRD# 1359654) allegedly recommended an unsuitable investment strategy, 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 Clearing Services.
Rock Maselli: VCS Advisor Denies $500K Fraud Complaint
Garden City, New York financial advisor Rock Maselli (CRD# 2791357) recently received an investor complaint alleging that his conduct resulted in $500,000 in damages. Financial Industry Regulatory Authority records show that he is a broker with VCS Venture Securities, having previously been registered with Joseph Stone Capital in Mineola, New York.
Chelsea Deng: Merrill Lynch Advisor Faces Private Placement Complaint
Beverly Hills financial advisor Chelsea Deng (CRD# 4179306) allegedly made unsuitable investment recommendations, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with Morgan Stanley, having previously been registered with Merrill Lynch.
Walter Schoczolek: $500K Complaint Against Avantax Advisor
Charlotte, North Carolina financial advisor Walter Schoczolek (CRD# 4488009) recently received an investor complaint alleging his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker with Sigma Financial Corporation, having previously been registered with Avantax Investment Services.
Michael D’Andrea: Sovereign Global Advisor Receives $100K Complaint
Melville, New York financial advisor Michael D’Andrea (CRD# 5919930) recently received an investor complaint alleging that he churned investments and committed fraud. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Sovereign Global Advisors.
Andrew Lofton: Cetera Advisor Faces $300K Complaint
A recent investor complaint against Franklin, Tennessee financial advisor Andrew Lofton (CRD# 6723209) alleges that his advice resulted in six-figure losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor registered with Cetera Investment Services.
Louis Goff: SEC Fraud Charges Against Wells Fargo Advisor
Salt Lake City financial advisor Louis Goff (CRD# 4882759) allegedly participated in a fraudulent securities offering, according to a recent Securities and Exchange Commission complaint. Financial Industry Regulatory Authority records show that he is currently a broker registered with Wells Fargo Clearing Services.
