Former Orlando, Florida financial advisor Richard Routie (CRD# 4379905) was recently sanctioned and suspended in connection with allegations that he...
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James Armour: Oil & Gas Complaint Against Armour Capital Advisor
Wayzata, Minnesota financial advisor James Armour (CRD# 705645) has been involved in investor complaints, one of which reached a settlement of more than $1.2 million. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Ausdal Financial Partners, doing business as Armour Capital.
Jim Davis: GWG L Bond Complaints Against IFP/Grow Live Give Advisor
Franklin, Tennessee financial advisor Jim Davis (CRD# 4222532) recently received investor complaints alleging GWG L bond investment recommendations resulted in losses. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with IFP Securities and Independent Financial Partners, respectively, doing business as Grow Live Give.
Saul Rothberger: Avantax Advisor Receives Suitability Complaint
A recent investor complaint against Brooklyn financial advisor Saul Rothberger (CRD# 2914820) alleges that his investment advice resulted in losses. Records maintained by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with Avantax Investment Services and Avantax Advisory Services, respectively.
Sapphira Chow: Cetera Advisor Denies Structured Product Complaint
Monterey Park financial advisor Sapphira Chow (CRD# 6308704) allegedly recommended unsuitable investments, according to a recent investor complaint against her. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with Cetera Investment Services.
Jason Gopen: JP Morgan Denied Complaint Against Cedarhurst Advisor
A recent investor complaint against Cedarhurst, New York financial advisor Jason Gopen (CRD# 5981937) alleged that his investment advice resulted in damages of more than $400,000. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with JP Morgan Securities.
MML Advisor Jarad Plummer Under Investigation: Insurance Sales
Chicago financial advisor Jarad Plummer (CRD# 5782125) is under investigation by state securities regulators in connection with allegations concerning the sale of insurance products. Financial Industry Regulatory Authority records indicate that he is a broker and an investment advisor with MML Investors Services.
Lauren Ivester: 6-Figure Complaints Against Dempsey Lord Smith Advisor
Recent investor complaints against Cramerton, North Carolina financial advisor Lauren Ivester (CRD# 5001776) allege that she recommended unsuitable investments, breached her fiduciary duty, and engaged in other forms of misconduct. Records maintained by the Financial Industry Regulatory Authority indicate that she is a broker and an investment advisor with Dempsey Lord Smith.
Anthony Cipolla: $270K Complaint Against Eagle Strategies Advisor
Santa Rosa, California financial advisor Anthony Cipolla (CRD# 4559516) is involved in an investor complaint alleging his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a representative of NYLife Securities, DFPG Investments, Eagle Strategies, and Cipolla Financial.
Jim Shenk: $160K Complaint Against Coastal Equities Advisor
Recent investor complaints against Glen Rock, Pennsylvania financial advisor Jim Shenk (CRD# 2876098) allege that his investment advice resulted in six-figure damages. Records maintained by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with Coastal Equities and Coastal Investment Advisors, respectively.
Did Morgan Stanley’s Frank Seminara Misrepresent Investment?
Frank Seminara (CRD# 2785718), a financial advisor based in Palm Beach, recently received an investor complaint alleging he provided misleading information. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Morgan Stanley, having previously been registered with UBS Financial Services.
