Former New York City financial advisor Sung Moo Cho (CRD# 5015906) was recently sanctioned and barred in connection with misappropriation...
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Easterly ROCMuni Investors Have Recovery Options
Did you suffer financial losses investing in the Easterly ROCMuni High Income Municipal Bond Fund? If you held positions in this fund, you may have experienced a dramatic decline in your portfolio value, with the fund losing approximately 69% of its value over the last year. While all investments carry some degree of risk,… Read More »
Chong Zhang: Ameriprise Advisor Faces $2mm Complaint
Rancho Cucamonga, California financial advisor Chong Zhang (CRD# 6444001) recently received an investor complaint alleging that her conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Ameriprise Financial Services.
Chris Rogers: $500K Complaint Against Ridgegate Advisor
A recent investor complaint against Englewood, Colorado financial advisor Chris Rogers (CRD# 4453653) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Emerson Equity and an investment advisor with Ridgegate Advisors.
Peyton Ethridge: Patrick Capital Advisor Faces Suitability Complaint
Atlanta, Georgia financial advisor Peyton Ethridge (CRD# 6634147) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Patrick Capital Markets, doing business as Corvi Capital.
Jim Raia: $940K Complaint Against Emerson, Ex-Moloney Advisor
Irvine, California financial advisor Jim Raia (CRD# 2397301) has received multiple investor complaints alleging that his advice resulted in damages. Financial Industry Regulatory Authority records show that the former Moloney Securities representative is registered as a broker with Emerson Equity, doing business as Jim Raia Investment Group.
James Witkowski: $100K Complaint Against JW Wealth Advisor
Liberty, Missouri financial advisor James Witkowski (CRD# 4221931) recently received an investor complaint alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory records show that he is registered as a broker and an investment advisor with Cetera, doing business as JW Wealth Management.
Francis Cunningham: Ex-Stifel Advisor Lands Churning Complaint
Memphis, Tennessee financial advisor Francis Cunningham (CRD# 2105075) allegedly made unauthorized trades, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with B. Riley Wealth Management and B. Riley Wealth Advisors, respectively, having previously been registered with Stifel Nicolaus.
Blake Furgerson: Investor Complaint Against Stifel Advisor
Fort Worth, Texas financial advisor Blake Furgerson (CRD# 6055795) 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 and an investment advisor with Stifel Nicolaus & Company, having previously been registered with Merrill Lynch.
Brad Davidson: College Yard Advisor Lands $475K Complaint
A recent investor complaint against Mission Viejo, California financial advisor Brad Davidson (CRD# 5142256) alleges that his investment advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Emerson Equity, doing business as College Yard Investments.
Robert Tudor: Voya Advisor Faces $100K-$500K Complaint
Buford, Georgia financial advisor Robert Tudor (CRD# 5670404) recently received an investor complaint alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Voya Financial Advisors.
