Former New York City financial advisor Sung Moo Cho (CRD# 5015906) was recently sanctioned and barred in connection with misappropriation...
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Jeffrey Schuur: FINRA Suspends Oakwood Capital Advisor
St. Louis Park, Minnesota financial advisor Jeffrey Schuur (CRD# 2391965) was recently sanctioned and suspended in connection with allegedly unsuitable variable annuity recommendations. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Oakwood Capital.
Rogers Haydon: Why Did Arkadios Advisor Resign from Raymond James?
Atlanta, Georgia financial advisor Rogers Haydon (CRD# 4452565) recently resigned from his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Raymond James broker is currently registered as an investment advisor with Arkadios Wealth advisors.
Greg Cunningham: $150K Complaint Against Raymond James Advisor
Park City, Utah financial advisor Greg Cunningham (CRD# 2477804) 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 and an investment advisor with Raymond James Financial Services, doing business as Cunningham Wealth Group.
Luke Lannister: FINRA Suspends Ex-Grove Point Advisor
Former Rockville, Maryland financial advisor Luke Lannister (CRD# 6317373) 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 Grove Point Investments, having previously been registered with CUSO Financial Services.
John Girgis: FINRA Bars Garden State, Ex-Worden Advisor
Red Bank, New Jersey financial advisor John Girgis (CRD# 5021526) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Garden State Securities and Garden State Investment Advisory Services, respectively, having previously been registered with… Read More »
Josh Green: $450K Complaint Against Cetera Advisor
New Port Richey, Florida financial advisor Josh Green (CRD# 4970616) recently received an investor complaint alleging that he made unsuitable investment recommendations. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Cetera Investment Services.
John Hardiman: Janney Advisor Lands $660K Complaint
A recent investor complaint against Melville, New York financial advisor John Hardiman (CRD# 2089333) 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 Janney Montgomery Scott.
Tally Lykins: Money Concepts Advisor Faces Elder Abuse Complaint
A recent investor complaint against Columbus, Indiana financial advisor Tally Lykins (CRD# 2439455) alleges that he committed elder abuse. Financial Industry Regulatory Authority records show that he is registered as a broker with Money Concepts Capital Corporation and an investment advisor with Money Concepts Advisory Service.
Joe Eschleman: $1mm DST Complaint Against Purshe Kaplan Advisor
Sacramento, California financial advisor Joe Eschleman (CRD# 3237843) allegedly recommended an unsuitable DST transaction, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Purshe Kaplan Sterling and an investment advisor with Towerpoint Wealth
Matthew Winthrop: Aegis Broker Fired by Equitable Advisors
Easton, Connecticut financial advisor Matthew Winthrop (CRD# 2445102) was recently fired by his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he the former Equitable Advisors representative is currently registered as a broker and an investment advisor with Aegis Capital.
