Former New York City financial advisor Sung Moo Cho (CRD# 5015906) was recently sanctioned and barred in connection with misappropriation...
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Robert Smith: $1mm-$2.3mm Complaint Against Peregrine Advisor
Newberg, Oregon financial advisor Robert Smith (CRD# 1412333) 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, doing business as Peregrine Private Capital.
Wally Smith: $1mm-$2.3mm Complaint Against Ridgegate Advisor
Englewood, Colorado financial advisor Wally Smith (CRD# 4844156) recently received an investor complaint alleging that he committed fraud. Financial Industry Regulatory Authority records show that he is registered as a broker with Emerson Equity and an investment advisor with Ridgegate Advisors.
Alvaro Jiron: $100K-$500K Complaint Against SouthState Advisor
Coral Gables, Florida financial advisor Alvaro Jiron (CRD# 4226147) allegedly misrepresented an investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, doing business as South State Investment Services.
Frank Gomez: $395K Complaint Against LPL Advisor
Fate, Texas financial advisor Frank Gomez (CRD# 6289883) recently received an investor complaint alleging his advice resulted six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, doing business as Diligent Hands Wealth Management.
Thaddeus Eubanks: Edward Jones Advisor Faces $2.5mm Complaint
Yuba City, California financial advisor Thaddeus Eubanks (CRD# 5888014) recently received an investor complaint alleging 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 Edward Jones.
Nate Goad: J. Alden Advisor Faces $3.8mm Complaint
Largo, Florida financial advisor Nate Goad (CRD# 5421740) has received multiple investor complaints alleging his conduct resulted in six- or seven-figure damages. Financial Industry Regulatory Authority record show that he is registered as a broker with J. Alden Associates and an investment advisor with Alden Investment Group.
Steve Brundage: $1.2mm Complaint Against Ameriprise Advisor
Las Vegas, Nevada financial advisor Steve Brundage (CRD# 2597779) recently received an investor complaint alleging that his conduct resulted in damages of more than $1 million. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Ameriprise Financial Services.
David Waal: Emerson Advisor Faces $2.3mm Complaint
Irvine, California financial advisor David Waal (CRD# 1226437) recently received an investor complaint alleging that he committed fraud. Financial Industry Regulatory Authority records show that he is registered as a broker with Emerson Equity, having previously been registered with Orchard Securities.
Nick Iarrapino: Wells Fargo Advisor Resigned from Morgan Stanley
Hackensack, New Jersey financial advisor Nick Iarrapino (CRD# 7588258) recently resigned from his 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 Wells Fargo Advisors Financial Network, having previously been registered with Morgan Stanley.
Rikki Foster: $700K Complaint Against RegalStone Advisor
A recent investor complaint against Roseville, California financial advisor Rikki Foster (CRD# 6075051) alleges 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 Concorde Investment Services and Concorde Asset Management, respectively, doing business as RegalStone Wealth Management.
