Former New York City and Miami financial advisor Chuck Roberts (CRD# 2064602) was recently sanctioned and barred in connection with...
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Phillip Cartwright: $75K Complaint Against Legacy Investments Broker
Multiple investor complaints against Appleton, Wisconsin financial advisor Phillip Cartwright (CRD# 4287303) detail allegations that he recommended unsuitable products. Records provided by the Financial Industry Regulatory Authority show that he is a broker and an investment advisor with Woodbury Financial Services, acting as a representative of Legacy Investments and Services.
Greg Ramirez: $150K Complaint Against Ex-Cabin Securities Broker
Laguna Hills, California financial advisor Greg Ramirez (CRD# 2883461) is involved in an investor complaint alleging that his handling of a customer’s account resulted in six-figure damages. Records provided by the Financial Industry Regulatory Authority and the Securities and Exchange Commission indicate that the former Cabin Securities broker is currently an investment advisor with… Read More »
Morgan Stanley’s Michael Schmidt: Complaint Alleges Forgery
Milwaukee financial advisor Michael Schmidt (CRD# 2403903) allegedly misappropriated customer funds and engaged in forgery, according to a recent investor complaint. Records provided by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with Morgan Stanley.
Chris Schofield: $130K Complaint Against Morgan Stanley Advisor
Colorado Springs financial advisor Chris Schofield (CRD# 2175959) is involved in an investor complaint alleging that his conduct resulted in damages of more than $100,000. Records maintained by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with Morgan Stanley.
Anthony Megaro: Why Did Park Avenue Securities Fire Paramus Advisor?
Paramus, New Jersey financial advisor Anthony Megaro (CRD# 1977837) was recently fired from his position at Park Avenue Securities in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the current Nationwide Planning Associates broker, who has been sanctioned by state securities regulators, is also involved in an investor complaint alleging… Read More »
Felipe Arrieta: Ex-SW Financial Advisor Receives $747K Complaint
A recent investor complaint against Manchester, Missouri financial advisor Felipe Arrieta (CRD# 4142123) alleges that he provided misleading information and charged excessive commissions. Records provided by the Financial Industry Regulatory Authority indicate that he is a broker with Moloney Securities, having previously been registered with SW Financial.
Kevin Duffy: $124K ETF Complaint Against Raymond James Advisor
Multiple investor complaints against Louisville financial advisor Kevin Duffy (CRD# 4481935) allege that he recommended unsuitable investments to his customers. Financial Industry Regulatory Authority records indicate that he is a broker and an investment advisor with Raymond James & Associates.
Fermin Mesina: $500K-$1mm Complaint Against First Bank Advisor
Recent investor complaints against Chula Vista, California financial advisor Fermin Mesina (CRD# 4619199) allege that his investment advice resulted in cumulative damages as high as $1.35 million. Financial Industry Regulatory Authority records indicate that he is a broker and an investment advisor with Infinex Investments as well as a representative of First Bank.
Wells Fargo Advisor Christopher Hill: Investors File Complaints
Miami financial advisor Christopher Hill (CRD# 4683090) allegedly engaged in conduct that resulted in losses in a customer’s account, according to a recent investor complaint. Records maintained by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with Wells Fargo Clearing Services.
Network 1 Advisor Andrew Grant: FINRA Advises Disciplinary Action
Hauppauge, New York financial advisor Andrew Grant (CRD# 2709882) allegedly exercised unauthorized discretion in customer accounts, according to a recent investigation. Financial Industry Regulatory Authority records show that he is a broker with Network 1 Financial Securities and has previously been sanctioned by FINRA in connection with findings of misconduct.
