Chesterfield, Missouri financial advisor Deb Mesle (CRD# 849766) resigned from a former member firm in connection with alleged rule violations....
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Tony daRoza: Merrill Advisor Faces Investor Complaint
San Francisco financial advisor Tony daRoza (CRD# 2087563) allegedly breached his fiduciary duty, according to an investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch.
Glen Mintz: NewEdge Advisor Received $869K Complaint
A recent, closed investor complaint against Park City, Utah financial advisor Glen Mintz (CRD# 2189984) alleged that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with NewEdge Securities and an investment advisor with New Edge Wealth.
Robert Woods: Wedbush Advisor Lands $1mm Complaint
Los Angeles financial advisor Robert Woods (CRD# 820999) allegedly recommended unsuitable investments and violated industry rules, according to an investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Wedbush Securities. Mr. Woods’ BrokerCheck report discloses one investor complaint. Filed in June 2025, it… Read More »
Jerice Walker: $1mm Complaint Against Wells Fargo Advisor
Irvine, California financial advisor Jerice Walker (CRD# 5040177) recently received an investor complaint alleging that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Wells Fargo Clearing Services and Wells Fargo Advisors, respectively. Mr. Walker’s BrokerCheck report discloses one… Read More »
Mike Ginestro: $2.4mm Complaint Against Merrill Advisor
A recent investor complaint against Los Angeles financial advisor Mike Ginestro (CRD# 2468911) alleges that his conduct resulted in more than $2 million in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch.
Ali Chehab: FINRA Files Complaint Against Ex-Merrill Advisor
Former Portland, Oregon financial advisor Ali Chehab (CRD# 7625979) was recently named respondent in a regulatory complaint alleging that he engaged in sales practice violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Merrill Lynch.
Andrew Mack: FINRA Suspends Former AGP Advisor
Former Greenwich, Connecticut financial advisor Andrew Mack (CRD# 5932062) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Raymond James Financial Services, before which he was registered with Alliance Global Partners. He did business as Tempus… Read More »
Jeff Meyers: $100K Complaint Against Meyers Wealth Advisor
A recent investor complaint against Overland Park, Kansas financial advisor Jeff Meyers (CRD# 2192759) 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 Osaic Wealth, doing business as Meyers Wealth Management.
Steve Mattocks: Osaic Advisor Lands $118K REIT Complaint
Wichita, Kansas financial advisor Steve Mattocks (CRD# 2193216) allegedly sold unsuitable real estate investment trust products, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Osaic Wealth. He is also the owner of Wheatland Insurance Group.
Edwin Lickiss: DOJ Alleges Ponzi Scheme by Suspended Bay Area Advisor
Alamo, California financial advisor Edwin Lickiss (CRD# 844969) was recently charged by the US Department of Justice with wire fraud and money laundering in connection with an alleged Ponzi scheme. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Investment Architects, and he was formerly the owner… Read More »
