Former Brooklyn, New York financial advisor Marat Likhtenstein (CRD# 2470480) allegedly perpetrated an offering fraud scheme, according to charges filed...
Read MoreAuthor Archives: chase@carlson-law.com
Dwight Kay: $570K Elder Abuse Complaint Against Ex-WealthForge Advisor
A recent investor complaint against Torrance, California financial advisor Dwight Kay (CRD# 5376903) alleges that he committed elder abuse. Financial Industry Regulatory Authority records show that he is registered as a broker with FNEX Capital, having previously been registered with Growth Capital Services and WealthForge Securities.
Michael Rudio: Suitability Complaint Against Ex-LPL Advisor
Atlanta, Georgia financial advisor Michael Rudio (CRD# 6322313) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Purshe Kaplan Sterling and an investment advisor with Phase Line Capital.
Peter Po: $150K Fraud Complaint Against Emerson, Ex-NI Advisor
Cupertino, California financial advisor Peter Po (CRD# 3106974) has received multiple investor complaints 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 Emerson Equity, having previously been registered with NI Advisors.
Fariba Madison: Ex-WIS Advisor Faces $358K Complaint
Los Alamitos, California financial advisor Fariba Madison (CRD# 1178259) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is registered as a broker with Vanderbilt Securities and an investment advisor with Vanderbilt Advisory Services.
Gregory Libby: $500K Complaint Against Morgan Stanley Advisor
A recent investor complaint against Paramus, New Jersey financial advisor Gregory Libby (CRD# 2455485) 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 Morgan Stanley.
Chris Yoda: ETP Complaint Against Merrill Lynch Advisor
Miami, Florida financial advisor Chris Yoda (CRD# 6151977) 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 Merrill Lynch.
Andrew Ciccone: Kestra, Ex-Schwab Advisor Lands $500K Complaint
Austin, Texas financial advisor Andrew Ciccone (CRD# 6864958) recently received an investor complaint alleging that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Kestra Investment Services, having previously been registered with Charles Schwab & Company.
Dave Stone: $1mm-$5mm Complaints Against Stifel Advisor
New York City financial advisor Dave Stone (CRD# 4219856) has received multiple investor complaints alleging that his conduct resulted in six- or seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Stifel Nicolaus & Company.
Todd Roggen: Ex-Raymond James Advisor Faces Suitability Complaint
Houston, Texas financial advisor Todd Roggen (CRD# 721463) recently received an investor complaint alleging that he recommended unsuitable private placements. 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 OneSeven. Mr. Roggen’s BrokerCheck report discloses several investor complaints…. Read More »
Mike Roberts: $2mm Complaint Against Oak Wealth Advisor
A recent investor complaint against Gilbert, Arizona financial advisor Mike Roberts (CRD# 4700058) alleges that his advice resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with The Strategic Financial Alliance, doing business as Oak Wealth Management.
