Former Tulsa, Oklahoma financial advisor Tiffany Keigley (CRD# 4507001) was recently sanctioned and barred in connection with alleged rule violations....
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Grove Point Advisor Louis Nemeth Faces $50K Penny Stock Complaint
Bethlehem, Pennsylvania financial advisor Louis Nemeth (CRD# 1465420) recently received an investor complaint alleging his investment advice resulted in damages. Records provided by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with Grove Point Investments.
Matthew Childs: Portsmouth Advisor Faces GWG L Bond Complaint
San Francisco financial advisor Matthew Childs (CRD# 3110916) allegedly recommended an unsuitable GWG L bond investment, according to a recent investor complaint. Records provided by the Financial Industry Regulatory Authority indicate that he is a broker with Portsmouth Financial Services.
Delaina Kucish: FINRA Investigates Edward Jones Advisor
The Financial Industry Regulatory Authority recently conducted an investigation of Morgantown, West Virginia financial advisor Delaina Kucish (CRD# 4401092). FINRA records show that the agency made a determination to recommend action against the Edward Jones broker and an investment advisor, alleging that she provided false information to investigators, among other forms of misconduct.
Luis Mendoza: Did Truist Advisor Misrepresent Investment?
Potomac, Maryland financial advisor Luis Mendoza (CRD# 4373652) was recently involved in an investor complaint alleging his conduct resulted in losses. Records maintained by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with Truist Investment Services.
Yong Chang: $150K Complaint Against U&T Financial Advisor
Recent investor complaints against Seattle financial advisor Yong Chang (CRD# 4440739) allege that he recommended unsuitable REIT investments. Financial Industry Regulatory Authority records indicate that he is a broker and an investment advisor with Independent Financial Group, doing business as U&T Financial.
Larry Letterio: Regulators Probe Ex-Altair Advisor’s ETF Sales
Berwyn, Pennsylvania financial advisor Larry Letterio (CRD# 1738325) is under investigation by state regulators in connection with alleged sales of inverse exchange-traded funds. Records provided by the Securities and Exchange Commission show that he is currently an investment advisor with Kistler-Tiffany Advisors.
Matt Boehm: GWG L Bond Complaint Against Legacy Wealth Advisor
A pending investor complaint against East Peoria, Illinois financial advisor Matt Boehm (CRD# 4418029) concerns an investment in GWG L bonds. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Woodbury Financial Services, doing business as Legacy Wealth Partners.
Archie Blood: FINRA Sanctions Fiduciary Financial Advisor
Grand Rapids, Michigan financial advisor Archie Blood (CRD# 1861277) allegedly participated in improper private securities transactions, according to a recent enforcement action. Financial Industry Regulatory Authority and Securities and Exchange Commission records indicate that the former Cambridge Investment Research broker is currently an investment advisor with Fiduciary Financial Advisors.
Andrew Wilson: $100K Complaint Against Wealth Enhancement Advisor
New Market, Maryland financial advisor Andrew Wilson (CRD# 1978779) allegedly provided investment advice that resulted in six-figure damages, according to a recent investor complaint. Records provided by the Financial Industry Regulatory Authority and the Securities and Exchange Commission indicate that he is an investment advisor with Wealth Enhancement Advisory Services.
Ray Lent: GWG Complaints Against Putney Financial Advisor
Multiple investor complaints against San Rafael financial advisor Ray Lent (CRD# 817645) concern investments in GWG L bonds. Records provided by the Financial Industry Regulatory Authority show that he is a broker with Portsmouth Financial Services, doing business as The Putney Financial Group.
