Murray, Utah financial advisor Ray DeWitt (CRD# 2894063) allegedly violated federal securities law, according to a recent investor complaint. Financial...
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Ameriprise’s Brandon Harrington: FS Energy & Power Complaint
Williamsville financial advisor Brandon Harrington (CRD# 2842967) allegedly recommended unsuitable alternative investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Ameriprise Financial Services.
Michael Risko: REIT Allegations Against Infinex Advisor
Hyde Park, New York financial advisor Michael Risko (CRD# 1975573) is involved in an investor dispute alleging his conduct resulted in damages. Records maintained by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with Infinex Investments, where he is also registered with the firm’s offices in Kingston… Read More »
Jason Pintus: $105K Complaint Against Monmouth Capital Advisor
A pending investor complaint against Point Pleasant Beach, New Jersey financial advisor Jason Pintus (CRD# 5239408) alleges that he breached his fiduciary duty and churned investments in a customer’s account. Financial Industry Regulatory Authority records indicate that he is a broker and an investment advisor with Monmouth Capital Management.
Sequoia Wealth’s Andrea Steiner: $50K Bond Complaint
Incline Village, Nevada financial advisor Andrea Steiner (CRD# 5620516) allegedly recommended unsuitable investments, according to a recent investor complaint. Records maintained by the Financial Industry Regulatory Authority indicate that she is a broker with Vanderbilt Securities, doing business as Sequoia Wealth and Risk Management, and an investment advisor with Consolidated Portfolio Review Corporation.
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.
