Murray, Utah financial advisor Ray DeWitt (CRD# 2894063) allegedly violated federal securities law, according to a recent investor complaint. Financial...
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Luke Lannister: FINRA Suspends Ex-Grove Point Advisor
Former Rockville, Maryland financial advisor Luke Lannister (CRD# 6317373) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Grove Point Investments, having previously been registered with CUSO Financial Services.
John Girgis: FINRA Bars Garden State, Ex-Worden Advisor
Red Bank, New Jersey financial advisor John Girgis (CRD# 5021526) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Garden State Securities and Garden State Investment Advisory Services, respectively, having previously been registered with… Read More »
Josh Green: $450K Complaint Against Cetera Advisor
New Port Richey, Florida financial advisor Josh Green (CRD# 4970616) recently received an investor complaint alleging that he made unsuitable investment recommendations. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Cetera Investment Services.
John Hardiman: Janney Advisor Lands $660K Complaint
A recent investor complaint against Melville, New York financial advisor John Hardiman (CRD# 2089333) alleges that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Janney Montgomery Scott.
Tally Lykins: Money Concepts Advisor Faces Elder Abuse Complaint
A recent investor complaint against Columbus, Indiana financial advisor Tally Lykins (CRD# 2439455) alleges that he committed elder abuse. Financial Industry Regulatory Authority records show that he is registered as a broker with Money Concepts Capital Corporation and an investment advisor with Money Concepts Advisory Service.
Joe Eschleman: $1mm DST Complaint Against Purshe Kaplan Advisor
Sacramento, California financial advisor Joe Eschleman (CRD# 3237843) allegedly recommended an unsuitable DST transaction, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Purshe Kaplan Sterling and an investment advisor with Towerpoint Wealth
Matthew Winthrop: Aegis Broker Fired by Equitable Advisors
Easton, Connecticut financial advisor Matthew Winthrop (CRD# 2445102) was recently fired by his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he the former Equitable Advisors representative is currently registered as a broker and an investment advisor with Aegis Capital.
Carlson Law Represents Former Clients of Blake Fellows
Carlson Law, P.A. represents investors who were clients of Blake Fellows and Fellows Financial Group, LLC. The husband and wife investors allege that Mr. Fellows recommended unsuitable investments and strategies that caused them significant financial losses. The allegations relate to Mr. Fellows’ recommendations of speculative investments, including a business opportunity with Guardian Wireless, that… Read More »
Jordana Wojnowski: LPL Advisor Lands Unauthorized Trading Complaint
A recent investor complaint against Winter Haven, Florida financial advisor Jordana Wojnowski (CRD# 5696895) alleges that she made unauthorized trades. Financial Industry Regulatory Authority records show that she is registered as a broker with LPL Financial, doing business as Allen & Company.
Thomas Justice: $1mm Complaint Against Emerson Equity Advisor
San Mateo, California financial advisor Thomas Justice (CRD# 2786145) has received multiple investor complaints alleging that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered with a broker and an investment advisor with Emerson Equity, having previously been registered with Conover Securities.
