Nashville, Tennessee financial advisor Dorris Jones (CRD# 735200) recently received an investor complaint alleging that her advice resulted in six-figure...
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Joseph Langlois: $870K Complaint Against DFPG Investments Advisor
San Jose financial advisor Joseph Langlois (CRD# 4216281) has received an investor complaint alleging his recommendations led to six-figure damages. Financial Industry Regulatory Authorities show that he is currently a broker and investment advisor with DFPG Investments.
Joseph Chu: $1.1mm Energy Complaint Against RBC Advisor
Stamford financial advisor Joseph Chu (CRD# 4546805) has recently received several investor complaints concerning allegedly unsuitable energy securities. Financial Industry Regulatory Authority records show that Mr. Chu is a broker and investment advisor with RBC Capital Markets, having formerly been registered with Merrill Lynch.
Dan Winn: 6-Figure Churning Complaint Against San Francisco Advisor
Newbridge Securities Corporation advisor Dan Winn (CRD# 4200300) allegedly breached his fiduciary and churned investments, according to a pending investor complaint. Financial Industry Regulatory Authority records show that the broker and investment advisor is based in San Francisco, California.
Chadwick Collins: $2 Million Complaint Against Stone Beacon Advisor
Pending investor complaints against Carlsbad, California financial advisor Chadwick Collins (CRD# 2597677) allege seven-figure damages. Financial Industry Regulatory Authority records show that Mr. Collins is a broker and advisor with Wedbush Securities, doing business as Stone Beacon Capital.
Vince Mastrovito: REIT Complaint Against Ex-Luminous Wealth Advisor
Pending investor complaints against former Novi, Michigan financial advisor Vince Mastrovito (CRD# 4068656) allege that he recommended unsuitable and over-concentrated investments. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that he was formerly a representative of Luminous Wealth Management, offering securities through J.W. Cole Financial.
Jody Young: $1 Million Complaint Against Atlanta Financial Advisor
ACG Wealth financial advisor Jody Young (CRD# 4068656) has received an investor complaint alleging seven-figure damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Arkadios Capital representative, currently based in Atlanta, is not registered as a broker.
Merrill Lynch Fired Joseph Szal over Allegedly Unauthorized Trades
Ex-Merrill Lynch stockbroker Joseph Szal (CRD# 2216245) allegedly executed unauthorized trades, according to digital records maintained by the Financial Industry Regulatory Authority. Formerly a representative of Merrill Lynch in Newport Beach, California, he is not presently registered as a stockbroker, though he is affiliated with Tempus Wealth Planning as an investment advisor in Irvine,… Read More »
Lowry Bayley: $500K Investor Complaint Against Indianapolis Advisor
Sanctuary Securities representative Lowry Bayley (CRD# 15409) has received an investor complaint alleging half a million dollars in damages. Financial Industry Regulatory Authority records show that he is a broker and financial advisor based in Indianapolis, Indiana, where he used to be registered with David A. Noyes & Company.
Herbert Messick: $100K Complaint Against Quantum Econometrics Broker
Whittier, California broker and financial advisor Herbert Messick (CRD# 332656) allegedly breached his fiduciary duty to a customer, according to a pending investor complaint. Financial Industry Regulatory Authority records show that he is a representative of Quantum Econometrics, offering securities through Cetera Advisor Networks.
$100K REIT Complaint Against Peak Financial’s Kenneth Beber
San Dimas, California broker and financial advisor Kenneth Beber (CRD# 4257664) allegedly recommended an unsuitable investment, according to a pending investor complaint. Financial Industry Regulatory Authority records show that he is a representative of Peak Financial, offering securities through Independent Financial Group.
