A recent investor complaint against Huntington Beach, California financial advisor Troy Thomas (CRD# 4691720) alleges that his conduct resulted in...
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James Maurer: Misappropriation Complaint Against Network 1 Advisor
Hauppage, New York financial advisors James Maurer (CRD# 4971613) allegedly misappropriated funds, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Network 1 Financial Securities, having previously been registered with Laidlaw & Company.
Dave Critelli: Equity Services Advisor Faced Annuity Complaint
A recent, denied investor complaint against Hauppage, New York financial advisor Dave Critelli (CRD# 2390899) alleged that he gave unsuitable advice. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Equity Services, having previously been registered with Cetera Investment Advisors and First Allied Securities.
Dwight Kay: $570K Elder Abuse Complaint Against Ex-WealthForge Advisor
A recent investor complaint against Torrance, California financial advisor Dwight Kay (CRD# 5376903) alleges that he committed elder abuse. Financial Industry Regulatory Authority records show that he is registered as a broker with FNEX Capital, having previously been registered with Growth Capital Services and WealthForge Securities.
Michael Rudio: Suitability Complaint Against Ex-LPL Advisor
Atlanta, Georgia financial advisor Michael Rudio (CRD# 6322313) allegedly recommended unsuitable investments, 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 Phase Line Capital.
Peter Po: $150K Fraud Complaint Against Emerson, Ex-NI Advisor
Cupertino, California financial advisor Peter Po (CRD# 3106974) has received multiple investor complaints 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 Emerson Equity, having previously been registered with NI Advisors.
Fariba Madison: Ex-WIS Advisor Faces $358K Complaint
Los Alamitos, California financial advisor Fariba Madison (CRD# 1178259) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is registered as a broker with Vanderbilt Securities and an investment advisor with Vanderbilt Advisory Services.
Gregory Libby: $500K Complaint Against Morgan Stanley Advisor
A recent investor complaint against Paramus, New Jersey financial advisor Gregory Libby (CRD# 2455485) 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 Morgan Stanley.
Chris Yoda: ETP Complaint Against Merrill Lynch Advisor
Miami, Florida financial advisor Chris Yoda (CRD# 6151977) allegedly made unauthorized trades, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch.
Andrew Ciccone: Kestra, Ex-Schwab Advisor Lands $500K Complaint
Austin, Texas financial advisor Andrew Ciccone (CRD# 6864958) recently received an investor complaint alleging that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Kestra Investment Services, having previously been registered with Charles Schwab & Company.
Dave Stone: $1mm-$5mm Complaints Against Stifel Advisor
New York City financial advisor Dave Stone (CRD# 4219856) has received multiple investor complaints alleging that his conduct resulted in six- or seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Stifel Nicolaus & Company.
