Former New York City financial advisor Sung Moo Cho (CRD# 5015906) was recently sanctioned and barred in connection with misappropriation...
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Sean Vappie: JP Morgan Advisor Faces $2.1mm Complaint
New Orleans, Louisiana financial advisor Sean Vappie (CRD# 5318274) recently received an investor complaint alleging that his conduct resulted in damages exceeding $2 million. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Edward Jones, having previously been registered with JP Morgan Securities.
William Medina: UBS Advisor Faces Investor Complaint
San Juan, Puerto Rico financial advisor William Medina (CRD# 2744961) allegedly colluded in the unauthorized withdrawal of funds, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with UBS Financial Services.
Ehud Gersten: $1mm Complaint Against Concorde, Ex-Emerson Advisor
Ann Arbor, Michigan financial advisor Ehud Gersten (CRD# 7066119) allegedly violated industry rules, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Concorde Investment Services and is a managing partner of Perch Wealth.
Rich Jirinec: $1.1mm Complaint Against Phoenix Advisor
A recent investor complaint against Jupiter, FLorida financial Rich Jirinec (CRD# 2580370) alleges that his advice resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker with PHX Financial, also known as Phoenix Financial Group.
Stirlingshire Investments Sanctioned, Fined over ETF Sales
New York City-based broker-dealer firm Stirlingshire Investments (CRD# 310576) was recently censured and fined in connection with allegations relating to the recommendation of inverse or leveraged exchange-traded funds, also known as NT-ETFs. According to a Letter of Acceptance, Waiver, and Consent (No. 2023077093401) issued in January 2026, the firm allegedly failed “to establish, maintain,… Read More »
Tory Duggins: Spartan Advisor Named in FINRA Complaint
Former New York City financial advisor Tory Duggins (CRD# 4556340) has been named in a pending enforcement action alleging that he violated industry rules. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Spartan Capital Securities.
Ryan Murphy: Truist Advisor Receives Investor Complaint
Former Savannah, Georgia financial advisor Ryan Murphy (CRD# 4332032) has received multiple investor complaints alleging that his advice resulted in damages. Financial Industry Regulatory Authority records show that he was most recently as a broker with Truist Investment Services and has been barred from associating with any broker-dealer firm.
Preston Walchli: Complaint Alleges Realta Advisor “Lied” to Clients
A recent investor complaint against Scottsdale, Arizona financial advisor Preston Walchli (CRD# 7265249) alleges that he lied to a customer, resulting in losses. Financial Industry Regulatory Authority records show that he is registered as a broker with Realta Equities, having previously been registered with Wealth Strategies Advisory Group and Robinhood Financial.
Mitch Stillman: $500k-$1mm Complaint Against Wells Fargo Advisor
A recent investor complaint against Scottsdale, Arizona financial advisor Mitch Stillman (CRD# 2894063) alleges that his conduct resulted in damages as high as $1 million. Financial Industry Regulatory Authority records show that he is registered as a broker with Wells Fargo Clearing Services and an investment advisor with Wells Fargo Advisors.
Jeff Mahoney: inFORM Advisor Lands $150K Complaint
Lakeville, Minnesota financial advisor Jeff Mahoney (CRD# 5333809) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Van Clemens & Company and an investment advisor with Van Clemens Wealth Management, doing business as inFORM Financial Planning.
