Former New York City financial advisor Sung Moo Cho (CRD# 5015906) was recently sanctioned and barred in connection with misappropriation...
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Wayne Hast: $240K Complaint Against Realta Advisor
Plano, Texas financial advisor Wayne Hast (CRD# 6382578) 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 with Realta Equities and an investment advisor with Crescent Advisor Group, doing business as Hast Financial Group.
Mark Carter: FINRA Suspends Ex-Pruco Advisor over Options Trades
Former Charlotte, North Carolina financial advisor Mark Carter (CRD# 6387371) was recently suspended and fined in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Pruco Securities and that he has received an investor complaint that reached a six-figure settlement.
Matthew Iacono: Morgan Stanley Advisor Faces Misrepresentation Claim
San Francisco financial advisor Matthew Iacono (CRD# 5759124) allegedly misrepresented an investment strategy, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Morgan Stanley.
Troy Robertson: $100K-$500K Complaint Against Copley Financial Advisor
San Diego, California financial advisor Troy Robertson (CRD# 6831574) 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 with Emerson Equity and an investment advisor with Copley Financial Group. He is also a representative of Heritage Tax &… Read More »
Ron Cole: Emerson Equity Advisor Lands $100K-$500K Complaint
A recent investor complaint against San Mateo, California financial advisor Ron Cole (CRD# 1434325) alleges that he violated industry rules and regulations. Financial Industry Regulatory Authority records show that he is registered as a broker with Emerson Equity, doing business as Cole 1031 Solutions.
Bill Van Pelt: Ridgeback Advisor Fired by Baldwin Group
Houston, Texas financial advisor Bill Van Pelt (CRD# 1716622) was recently fired by a former broker-dealer firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Baldwin Group representative is registered as a broker with Ridgeback Securities.
Taylor Armstrong: $5mm Complaint Against Aurora Advisor
Kirkland, Washington financial advisor Taylor Armstrong (CRD# 6984140) 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 with Aurora Securities and an investment advisor with Secure Asset Management, doing business as Real Estate Transition Solutions.
Brian Zimmerman: $125K ARC REIT Complaint Against IFG Advisor
A recent investor complaint against San Diego, California financial advisor Brian Zimmerman (CRD# 2401501) alleges that he failed to disclose the risk associated with an investment recommendation. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Independent Financial Group, doing business as Zimmerman Private Wealth… Read More »
Roger Bowlin: $5mm Complaint Against Aurora Securities Advisor
Kirkland, Washington financial advisor Roger Bowlin (CRD# 1905652) has received multiple investor complaints 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 Aurora Securities and Secure Asset Management, respectively, doing business as RW Bowlin Investment Solutions.
Steve Franko: FINRA Suspends Independence Capital Advisor
Mt. Vernon, Ohio financial advisor Steve Franko (CRD# 2157707) was recently suspended and fined in connection with allegations relating to the sale of GWG L Bonds. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Independence Capital.
