Former New York City financial advisor Sung Moo Cho (CRD# 5015906) was recently sanctioned and barred in connection with misappropriation...
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Thomas Scheiman: Independence Capital Advisor Suspended, Fined
Parma, Ohio financial advisor Thomas Scheiman (CRD# 1508288) was recently suspended and fiend in connection with the recommendation of a GWG L Bond. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Independence Capital.
Ashley Romiti: DST Complaint Against Realta, Ex-Emerson Advisor
San Juan Capistrano, California financial advisor Ashley Romiti (CRD# 7636987) recently received an investor complaint alleging that her conduct resulted in damages. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Realta Equities and Realta Investment Advisors, respectively.
Austin Bowlin: Aurora Advisor Faces $1mm Complaint
Kirkland, Washington financial advisor Austin Bowlin (CRD# 5674142) recently received an investor complaint alleging that his advice resulted in 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.
Eva Fernandez: Merrill Advisor Faced Denied Complaint
A recent, denied investor complaint against Virginia Beach, Florida financial advisor Eva Fernandez (CRD# 6289901) alleged that she made unauthorized trades. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Merrill Lynch, having previously been registered with First Command Financial Planning.
Brian Abbott: Why Did Cambridge Fire CreativeOne Advisor?
Lawrence, Kansas financial advisor Brian Abbott (CRD# 3222569) was recently terminated from his former broker-dealer firm in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Cambridge Investment Research Advisors broker is currently registered as an investment advisor with CreativeOne Wealth.
Kirk Crossen: FINRA Files Complaint Against Ex-Morgan Stanley Advisor
A recent regulatory complaint against former Carmel, Indiana financial advisor Kirk Crossen (CRD# 2742256) alleges that he improperly borrowed money from a senior customer. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Raymond James & Associates, but that he has been suspended from acting as a… Read More »
Derek Grimm: $100K Complaint Against Merrill Lynch Advisor
Winter Park, Florida financial advisor Derek Grimm (CRD# 3000890) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with RBC Capital Markets, having previously been registered with Merrill Lynch.
Jack Bruscianelli: JBT Advisor Faces $250K iShares Complaint
Chicago, Illinois financial advisor Jack Bruscianelli (CRD# 2113986) has received multiple investor complaints alleging that his advice resulted in damages. records show that he is registered as a broker with B. Riley Wealth Management, doing business as JBT Wealth Management.
Eric Bernhard: Ex-David Lerner Advisor Faces Energy 11 Complaint
A recent investor complaint against former White Plains, New York financial advisor Eric Bernhard (CRD# 6574991) alleges that his advice resulted in damages. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with NYLife Securities and is no longer registered with any FINRA member firm.
Josh Chapin: Breakwater Advisor Lands Fraud Complaint
A recent investor complaint against Irvine, California financial advisor Josh Chapin (CRD# 5825638) alleges that he committed fraud and violated federal securities law. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Emerson Equity, doing business as Breakwater Capital.
