Former Orlando, Florida financial advisor Richard Routie (CRD# 4379905) was recently sanctioned and suspended in connection with allegations that he...
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Kyle McLaughlin: Ex-Morgan Stanley Advisor Lands Suitability Complaint
Cincinnati, Ohio financial advisor Kyle McLaughlin (CRD# 2614967) allegedly made an unsuitable investment recommendation, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with RBC Capital Markets.
Bob Sweet: $100K Complaint Against Ex-LPL, Raymond James Advisor
El Paso, Texas financial advisor Bob Sweet (CRD# 4090608) allegedly recommended a non-traded REIT product that was not in his customer’s best interest. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Independent Financial Group.
Joseph Tartaglini: $425K Complaint Against JP Morgan Advisor
A recent investor complaint against Reno, Nevada financial advisor Joseph Tartaglini (CRD# 4963465) alleges that his advice resulted in damages of more than $400,000. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with JP Morgan Securities.
Christian Ramsey: $250K Complaint Against QPIA, Ex-Foothill Advisor
Colorado Springs financial advisor Christian Ramsey (CRD# 3038410) recently received an investor complaint alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Foothill Securities broker is currently registered as an investment advisor with QPIA.
Jorge Harker: $310K Complaint Against Holistic Brokerage Advisor
A recent investor complaint against Miami, Florida financial advisor Jorge Harker (CRD# 7015433) alleges that he made unauthorized trades. Financial Industry Regulatory Authority records show that he is registered as a broker with Holistic Brokerage and an investment advisor with Holistic Asset Management.
Thomas Windsor: $1mm Complaint Against Wells Fargo Advisor
Irvine, California financial advisor Thomas Windsor (CRD# 6671276) recently received an investor complaint alleging that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Wells Fargo Clearing Services and Wells Fargo Advisors, respectively.
Harry Warnick: FINRA Bars Fired Spartan Capital Advisor
Former New York City financial advisor Harry Warnick (CRD# 6916323) was recently sanctioned and barred in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Spartan Capital Securities, having previously been registered with Benchmark Investments.
Aaron Hammer: Lone Peak Advisor Fired by Valmark Securities
St. Cloud, Minnesota financial advisor Aaron Hammer (CRD# 4803779) was recently terminated from a former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Valmark Securities representative is currently registered as a broker with Transitional Broker and an investment advisor with Lone Peak Advisers.
John Suess: $200K Complaint Against Stifel Advisor
Edwardsville, Illinois financial advisor John Suess (CRD# 1950146) recently received an investor complaint alleging that his conduct resulted in six figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Stifel Nicolaus & Company.
Patrick Lam: Sherer Group Advisor Faces $1mm-$5mm Complaint
A recent investor complaint against Scottsdale, Arizona financial advisor Patrick Lam (CRD# 4723020) alleges that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Emerson Equity, doing business as Sherer Group.
