Torrance, California financial advisor Rod Uy (CRD# 4945992) allegedly made misrepresentations of material facts, according to a recent investor complaint....
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Vincent Virga: PFS Advisor Faces $1.1 Million NorthStar REIT Complaint
A recent investor complaint against Naples, Florida financial advisor Vincent Virga (CRD# 5070668) alleges that he recommended an unsuitable investment in a NorthStar Healthcare REIT. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Madison Avenue Securities broker is currently an investment advisor with AE Wealth Management. He is… Read More »
John Beggans: $40 Million Complaint Against JP Morgan Advisor
Boston financial advisor John Beggans (CRD# 2736874) recently received an investor complaint alleging eight-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor registered with JP Morgan Securities.
Barry Schwartz: $1 Million Complaint Against UBS Advisor
Miami financial advisor Barry Schwartz (CRD# 1022377) recently received an investor complaint alleging that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with UBS Financial Services.
Jason La Vigne: Blue Water Advisor Lands $203K Complaint
Easton, Pennsylvania financial advisor Jason La Vigne (CRD# 4499856) recently received an investor complaint alleging that his advice resulted in damages exceeding $200,000. Financial Industry Regulatory Authority records show that he is a broker with Triad Advisors, doing business as Blue Water Financial.
Leonard Rich: Suitability Complaint Against Joseph Gunnar Advisor
A recent investor complaint against Uniondale, New York financial advisor Leonard Rich (CRD# 375427) alleges that he made excessive trades in a customer’s account. Financial Industry Regulatory Authority records show that he is a broker with Joseph Gunnar & Company.
Richard Brown: $368K Annuity Complaint Against Cetera Advisor
Fort Myers financial advisor Richard Brown (CRD# 1595628) has received investor complaints alleging that he recommended unsuitable investments in REITs and other products. Financial Industry Regulatory Authority records show that he is a broker with Cetera Advisor Networks, doing business as Richard Brown Investments.
Steve Stanford: GWG L Bond Complaint Against Portsmouth Advisor
Fairhope, Alabama financial advisor Steve Stanford (CRD# 1686790) allegedly provided misleading advice regarding GWG L bonds, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Portsmouth Financial Services.
Rick Harbus: $350K Complaint Against HBW Advisor
Long Beach, California financial advisor Rick Harbus (CRD# 2278654) recently received an investor complaint alleging that his conduct resulted in six-figure damages. Securities and Exchange Commission records show that he is an investment advisor with HBW Advisory Services, having previously been registered as a broker with Cetera Advisor Networks.
Brian Cote: $1 Million Complaint Against Ex-Triad Advisor
A recent investor complaint against Nashville financial advisor Brian Cote (CRD# 4218494) alleged that his conduct resulted in damages of more than $1 million. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Gramercy Park Wealth Advisors (GPWA), having previously been registered with Triad Advisors.
Andrew Murdoch: Somerset Advisor Faces $168K iCap Complaint
Portland, Oregon financial advisor Andrew Murdoch (CRD# 4348536) recently received an investor complaint in connection with an iCap Equities private placement. Financial Industry Regulatory Authority records show that he is currently registered as a broker with Somerset Securities and was previously an investment advisor with Somerset Wealth Management.
