A recent, denied investor complaint against Irvine, California financial advisor Joe Fraser (CRD# 6975700) alleged that he violated industry rules...
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Jeff Frankos: $10mm Complaint Against Raymond James Advisor
A recent investor complaint against San Francisco, California financial advisor Jeff Frankos (CRD# 4006785) alleges that his conduct resulted in damages exceeding $10 million. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Raymond James & Associates.
Toni Iannarelli: $101K Complaint Against LPL Advisor
A recent investor complaint against Westlake Village, California financial advisor Tony Iannarelli (CRD# 1193641) alleges that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with LPL Financial.
Russell Stout: Excelsior Advisor Faces $100K Complaint
Syracuse, New York financial advisor Russell Stout (CRD# 4525503) recently received an investor complaint alleging that he made unauthorized trades. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Osaic Wealth, doing business as Excelsior Wealth Partners.
Fabio de Andrade: $24mm Complaint Against Merrill Advisor
A recent investor complaint against Kansas City, Missouri financial advisor Fabio de Andrade (CRD# 4671838) alleges that his advice resulted in eight-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch.
Robert Nevarez: HN Advisor Named in Inspired Healthcare Filing
Irvine, California financial advisor Robert Nevarez (CRD# 4039930) allegedly made unsuitable investment recommendations, according to an investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Cetera Wealth Services and an investment advisor with Cetera Investment Advisors, doing business as HN Financial Group.
Michael Dose: Did Cambridge Advisor Sell Inspired Healthcare?
San Diego, California financial advisor Michael Dose (CRD# 1747180) was fired from a former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Cambridge Investment Research, doing business as The Retirement Strategy Connection.
Jon Mesmer: Berthel Advisor Listed in Inspired Healthcare Form D
Aberdeen, South Dakota financial advisor Jon Mesmer (CRD# 2179965) allegedly recommended unsuitable investments, according to an investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Berthel Fisher & Company.
Matt Wilson: Did Ausdal Advisor Sell Inspired Healthcare?
Boulder, Colorado financial advisor Matt Wilson (CRD# 4576995) has been sanctioned by securities regulators and was terminated from a former member firm. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Ausdal Financial Partners.
Jason Ferneau: Emerson Advisor Listed in Inspired Healthcare Filing
Denver, Colorado financial advisor Jason Ferneau (CRD# 6136562) is listed in a Form D filing for Inspired Healthcare Capital, a senior living development company that recently entered bankruptcy. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Emerson Equity, doing business as Ferneau Asset… Read More »
Bo Wang: Wealth House Advisor Named in Inspired Healthcare Filing
Livingston, New Jersey financial advisor Bo Wang (CRD# 2394019) was terminated from a former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former TFS Securities representative is currently registered as a broker with Wealth House Capital.
