Murray, Utah financial advisor Ray DeWitt (CRD# 2894063) allegedly violated federal securities law, according to a recent investor complaint. Financial...
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John Marmion: Ohio Sanctions UBS Financial Advisor
Columbus, Ohio financial advisor John Marmion Jr. (CRD# 1139175) allegedly violated Ohio law, according to a sanction by the state’s securities authorities. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with UBS Financial Services, and that he is also registered with the firm’s office in Phoenix, Arizona.
Jason Mieras: $250K Complaint Against American Portfolios Advisor
Lake Como, New Jersey financial advisor Jason Mieras (CRD# 2850648) recently received an investor complaint alleging his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with American Portfolios Financial Services.
John Demertzis: LPL Advisor Faces $700K Real Estate Complaint
East Setauket financial advisor John Demertzis (CRD# 2690132) recently received an investor complaint alleging his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with LPL Financial, having previously been registered with Chase Investment Services.
Russell Conrad: Princeton Equity Advisor Faces 7-Figure Complaint
A recent investor complaint against Lewiston, New York financial advisor Russell Conrad (CRD# 2746778) alleges his advice resulted in damages as high as $5 million. Financial Industry Regulatory Authority records show that the former Arkadios Capital representative is a broker with Coastal Equities, doing business as Princeton Equity.
Kenji Saito: Ex-Centaurus Advisor Lands $75K Bond Complaint
Santa Barbara financial advisor Kenji Saito (CRD# 5695201) allegedly sold an unsuitable and high-risk bond investment, according to a recent investor complaint. Records provided by the Financial Industry Regulatory Authority and the Securities and Exchange Commission show that the former Centaurus Financial broker is currently an investment advisor with HBW Advisory Services.
Matt Stucke: Ex-Cambridge Advisor Faces 6-Figure Complaint
UPDATE: As of March 5, 2025, Carlson Law has now represented six former clients of Matthew Stucke. A recent investor complaint against Milton, Georgia financial advisor Matt Stucke (CRD# 4840895) alleges that his conduct resulted in seven-figure losses. Financial Industry Regulatory Authority records show that he is a broker with Cetera Advisor Networks and… Read More »
Albert Collingbourne: Edward Jones Advisor Faces Crypto Complaint
A recent investor complaint against Anadarko, Oklahoma financial advisor Albert Collingbourne (CRD# 4741840) alleges that his investment advice resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Edward Jones, having previously been registered with Arvest Wealth Management.
Travis Hudak: FINRA Investigates Ex-H. Beck Advisor
Former Draper, Utah financial advisor Travis Hudak (CRD# 3128251) was the subject of a recent investigation that determined to allege he violated industry rules. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former H. Beck and Transitional Broker representative is currently an investment advisor with Premier Investment Management.
Milind Dalal: $500K Complaint Against Clarity Wealth Advisor
San Jose financial advisor Milind Dalal (CRD# 2368965) recently received an investor complaint alleging his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker with Purshe Kaplan Sterling and an investment advisor with Clarity Wealth Advisors.
John Larkin: $137K Complaint Against Merrill Lynch Advisor
A recent investor complaint against Westfield, New Jersey financial advisor John Larkin (CRD# 1144419) alleges that his conduct resulted in damages exceeding $100,000. Records provided by the Financial Industry Regulatory Authority show that he is a broker and an investment advisor with Merrill Lynch, whose website describes him as a member of The Larkin… Read More »
