A recent, denied investor complaint against San Diego, California financial advisor Rick Abbe (CRD# 1366957) alleges that his advice resulted...
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Jason Pitts: $175K Complaint Against Former Cambridge Advisor Denied
A recent, denied investor complaint against Ashburn, Virginia financial advisor Jason Pitts (CRD# 2150845) alleged that he made an unauthorized transaction. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Wells Fargo Advisors, having previously been registered with Cambridge Investment Research.
Anita Lester: $200K Complaint Against Ex-Berthel Advisor
Gurnee, Illinois financial advisor Anita Lester (CRD# 4478199) recently received an investor complaint alleging that her conduct resulted in six-figure damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Berthel Fisher & Company broker is currently registered as an investment advisor with Brookstone Wealth Advisors.
Matthew Zagon: $90K Complaint Against Cova Capital Advisor
Syosset, New York financial advisor Matthew Zagon (CRD# 2165362) allegedly misrepresented investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Cova Capital Partners.
Sal LaRocca: Voya Advisor Faced $90K Denied Complaint
Melville, New York financial advisor Sal LaRocca (CRD# 1742689) recently received an investor complaint alleging that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Voya Financial Advisors.
Shelby Rothman: Suitability Complaint Against EnJoy Financial Advisor
Glendale, California financial advisor Shelby Rothman (CRD# 4166632) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Cambridge Investment Research, doing business as EnJoy Financial.
Angelica Prescod: $300K Complaint Against Edward Jones Advisor
Scottsdale, Arizona financial advisor Angelica Prescod (CRD# 5381488) recently received an investor complaint alleging that her conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Edward Jones.
Tanya Tang: Merrill Lynch Advisor Faces Investor Complaint
San Marino, California financial advisor Tanya Tang (CRD# 7176633) allegedly failed to follow instructions, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Merrill Lynch, having previously been registered with HSBC Securities.
Howard Roth: $125K Energy 11 Complaint Against David Lerner Advisor
A recent investor complaint against White Plains, New York financial advisor Howard Roth (CRD# 867754) alleges that his energy investment recommendation resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with David Lerner Associates.
Jeffrey Schuur: FINRA Suspends Oakwood Capital Advisor
St. Louis Park, Minnesota financial advisor Jeffrey Schuur (CRD# 2391965) was recently sanctioned and suspended in connection with allegedly unsuitable variable annuity recommendations. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Oakwood Capital.
Rogers Haydon: Why Did Arkadios Advisor Resign from Raymond James?
Atlanta, Georgia financial advisor Rogers Haydon (CRD# 4452565) recently resigned from his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Raymond James broker is currently registered as an investment advisor with Arkadios Wealth advisors.
