Former New York City financial advisor Sung Moo Cho (CRD# 5015906) was recently sanctioned and barred in connection with misappropriation...
Read MoreAuthor Archives: chase@carlson-law.com
Devlin Dwyer: Suitability Complaint Against Patrick Capital Advisor
A recent investor complaint against Atlanta, Georgia financial advisor Devlin Dwyer (CRD# 6634140) alleges that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker with Patrick Capital Markets, doing business as Corvi Capital.
Tamara Galchenko Huey: Ameriprise Advisor Lands Complaint
A recent investor complaint against San Diego, California financial advisor Tamara Galchenko Huey (CRD# 2174723) alleges that her advice resulted in damages. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Ameriprise Financial Services.
Phil Condit: Why Did LPL Fire Condit Wealth Advisor?
Fargo, North Dakota financial advisor Phil Condit (CRD# 2489945) was recently terminated by a former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former LPL Financial broker is currently registered as an investment advisor with Condit Wealth Management.
J. Paul Escudero: Orange Capital Advisor Receives Complaint
Orange, California financial advisor J. Paul Escudero (CRD# 2111381) allegedly recommended an unsuitable investment strategy, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Cetera Advisors and an investment advisor with Orange Capital Management.
Jon Cirelli: $100K Complaint Against Pivot Advisor
A recent investor complaint against Palm Beach, Florida financial advisor Jon Cirelli (CRD# 4729737) alleges that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Alexander Capital, doing business as Pivot Professional Partners.
Doug Dulac: Maine Street Advisor Lands Suitability Complaint
Carmel, Maine financial advisor Doug Dulac (CRD# 1411702) has received multiple investor complaints alleging that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with United Planners’ Financial Services of America, doing business as Maine Street Insurance and Financial Services.
Matthew Hurley: $206K Complaint Against Hurley Wealth Advisor
San Diego, California financial advisor Matthew Hurley (CRD# 1682165) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Independent Financial Group, doing business as Hurley Wealth Management.
Derek Stamos: Somerset Advisor Faces Pending Sanction
Portland, Oregon financial advisor Derek Stamos (CRD# 6667533) has been named in a pending enforcement action by securities regulators in Oregon. Financial Industry Regulatory Authority records show that he is registered as a broker with Somerset Securities.
Eduardo Leon: FINRA Suspends Global Financial Advisor
Houston, Texas financial advisor Eduardo Leon (CRD# 2232647) was recently sanctioned and suspended in connection with allegations that he improperly borrowed funds from a customer. Financial Industry Regulatory Authority records show that he is registered as a broker with Global Financial Services.
Gabe Candea: $1mm Complaint Against Beacon Advisor
A recent investor complaint against Irvine, California financial advisor Gabe Candea (CRD# 5531840) alleges that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Emerson Equity, doing business as Beacon Investment Realty.
