Murray, Utah financial advisor Ray DeWitt (CRD# 2894063) allegedly violated federal securities law, according to a recent investor complaint. Financial...
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Matt Hawkins: SEC Issues Complaint Against Cola Wealth Advisor
Lexington, South Carolina financial advisor Matthew Hawkins (CRD# 5731136) allegedly engaged in potential violations of securities industry rules, according to a pending complaint by the Securities and Exchange Commission. Financial Industry Regulatory Authority records show that he is a broker with Centaurus Financial, doing business as Cola Wealth Advisor.
David Ross: Why Did Edward Jones Fire Portland Advisor?
Portland financial advisor David Ross (CRD# 6284235) was recently fired by a former broker-dealer firm in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that he is currently registered as an investment advisor with Price Financial Group Wealth Management.
Frank Kuiper: $1mm-$5mm Complaint Against Financial Designs Advisor
San Diego financial advisor Frank Kuiper (CRD# 1774282) allegedly committed fraud, according to a recent investor complaint. Records provided by the Financial Industry Regulatory Authority show that he is a broker with Concorde Investment Services and an advisor with Concorde Asset Management, doing business as Financial Designs.
Gustavo Miramontes: 6-Figure Complaint Against Oppenheimer Advisor
An investor complaint against Los Angeles financial advisor Gustavo Miramontes (CRD# 2338966) alleges that his conduct resulted in damages of more than $150,000. Financial Industry Regulatory Authority records show that he is a broker registered with Oppenheimer & Company, having previously been registered with Wedbush Securities and Wells Fargo Advisors.
Joseph Audia: VCS Advisor Lands $295K Suitability Complaint
Hauppage, New York financial advisor Joseph Audia (CRD# 2909761) recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker with VCS Venture Securities and that he was previously registered with Joseph Stone Capital.
Max Elson Jr.: $635K Complaint Against Morgan Stanley Advisor
Champions Gate, Florida financial advisor Max Elson Jr. (CRD# 4430278) recently received an investor complaint alleging that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Morgan Stanley.
Marty Valade: Woodbury Advisor Faces $300K Complaint
A recent investor complaint against Cypress, California financial advisor Marty Valade (CRD# 1532673) alleges that his conduct resulted in six-figure losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Woodbury Financial Services, doing business as Murphy Financial Services.
iCap Equity Files for Bankruptcy
The Chief Executive Officer of iCap Equity, a Bellevue-based equity fund, announced his departure from the company in a letter sent to investors last month. This marks the latest in a series of challenges for the alternative investment firm, whose offerings include the iCap Vault I LLC, the iCap Pacific Income V LLC, and… Read More »
Talin Kalaydjian: $50K-$100K Complaint Against Western Advisor
Westlake Village, California financial advisor Talin Kalaydjian (CRD# 6674529) allegedly misrepresented an investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with Western International Securities.
John Franzino: Forgery Complaint Against J&M Financial Advisor
An investor complaint against Massapequa, New York financial advisor John Franzino (CRD# 4734949) alleges misconduct in connection with insurance sales. Financial Industry Regulatory Authority records show that he is a broker with Ameritas Investment Company and the owner of J&M Financial Services, having previously been registered with NYLife Securities.
