Thousand Oaks, California financial advisor Craig Sturges (CRD# 1315735) allegedly recommended an unsuitable investment, according to a recent investor complaint....
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Jorge Menendez: $800K Complaint Against Citi Advisor
Miami financial advisor Jorge Menendez (CRD# 5138358) 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 Citigroup Global Markets.
Javier Martin-Riva: Bulltick Advisor Faces $20 Million Complaint
A recent investor complaint against Miami financial advisor Javier Martin-Riva (CRD# 6706706) alleges that he misrepresented a convertible note investment and misappropriated funds. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Bulltick.
Mike Matteoni: $100K REIT Complaint Against MC2 Wealth Advisor
A recent investor complaint against Reno, Nevada financial advisor Mike Matteoni (CRD# 4177784) alleges that his investment advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Triad Advisors. He is a representative of MC2 Wealth Solutions.
Eric Ruthman: Ex-LPL Advisor Faces Structured Product Complaint
Atlanta financial advisor Eric Ruthman (CRD# 6281076) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that the former LPL Financial representative is currently registered as a broker with Purshe Kaplan Sterling and an investment advisor with Phase Line Capital.
Nicole Bailey: $100K-$500K Complaint Against RBC Advisor
A recent investor complaint against Denver financial advisor Nicole Bailey (CRD# 7016719) alleges that she recommended unsuitable investments. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with RBC Capital Markets.
Joel Freedman: $1.4mm Complaint Against Morgan Stanley Advisor
West Conshohocken, Pennsylvania financial advisor Joel Freedman (CRD# 1260557) recently received an investor complaint alleging that his conduct resulted in more than $1 million in damages. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Morgan Stanley.
Eric Coombs: Nationwide Advisor Resigned from Huntington
Columbus, Ohio financial advisor Eric Coombs (CRD# 2743447) recently resigned from The Huntington Investment Company in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is currently registered as a broker with Nationwide Investment Services Corporation.
Mike Savarese: America’s Retirement Advisor Lands $100K Complaint
San Diego financial advisor Mike Savarese (CRD# 1241811) recently received an investor complaint alleging that he breached his fiduciary duty. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with CreativeOne Securities, doing business as America’s Retirement Advisory Group.
Roger Roemmich: $100K Complaint Against Alexander Capital Advisor
Atlanta financial advisor Roger Roemmich (CRD# 1293322) recently received an investor complaint alleging that his investment advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Alexander Capital.
John Jacobs: Did Merrill Lynch Advisor Faces Theft Allegations
Las Cruces, New Mexico financial advisor John Jacobs (CRD# 1405497) recently received an investor complaint alleging misconduct. Records maintained by the Financial Industry Regulatory Authority indicate that he is currently registered as a broker and an investment advisor with Merrill Lynch.
