Former Woodbury and Melville, New York financial advisor Keith D’Agostino (CRD# 2837860) was recently sanctioned and suspended in connection with...
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Jason Weese: Merrill Advisor Lands Investor Complaint
Bellevue, Washington financial advisor Jason Weese (CRD# 2288375) recently received an investor complaint alleging that his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch, having previously been registered with Morgan Stanley.
Dennis Carter: Fraud Complaint Against NYLife Advisor
Las Vegas, Nevada financial advisor Dennis Carter (CRD# 6216944) allegedly facilitated a fraudulent scheme, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with NYLife Securities.
Joel Goldberg: Dempsey Advisor Receives Suitability Complaint
Dalton, Georgia financial advisor Joel Goldberg (CRD# 6590746) recently received an investor complaint alleging that he provided unsuitable investment advice. Financial Industry Regulatory Authority records show that he is registered as a broker with Dempsey Lord Smith.
Derek Ober: Did Northwestern Advisor Mislead Investor?
Sarasota, Florida financial advisor Derek Ober (CRD# 6634902) 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 Northwestern Mutual Investment Services.
Christopher Gill: Cambridge Advisor Received $352K Complaint
Newark, Ohio financial advisor Christopher Gill (CRD# 4126704) allegedly misappropriated fees, according to a recent, denied investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Cambridge Investment Research and Cambridge Investment Research Advisors, respectively.
Steven Syslo: UBS Advisor Faced Misappropriation Complaint
A recent, denied investor complaint against Paramus, New Jersey financial advisor Steven Syslo (CRD# 4308992) alleged that he stole funds from a customer’s account. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with UBS Financial Services.
Noah Alweiss: Suitability Complaint Against Morgan Stanley Advisor
Miami, Florida financial advisor Noah Alweiss (CRD# 5902252) recently received an investor complaint alleging that he made unsuitable recommendations. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Morgan Stanley.
Chris Peitz: Calton Advisor Faces Misappropriation Allegations
A regulatory investigation into Mitchell, South Dakota financial advisor Chris Peitz (CRD# 2050559) concerns allegations that he misappropriated funds. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Calton & Associates, doing business as Independent Financial Center.
Amy Furuno: Ex-Ladenburg Advisor Received $3mm Complaint
A recent, denied investor complaint against New York City financial advisor Amy Furuno (CRD# 3108378) alleged that her conduct resulted in more than $3 million in damages. Financial Industry Regulatory Authority records show that she is registered as a broker with Lucid Capital Markets, having previously been registered with Ladenburg Thalmann & Company.
Carlson Law Represents Several Chuck Roberts Clients Against Stifel
Carlson Law is representing several former clients of Chuck Roberts (CRD# 2064602), a Miami Beach-based financial advisor licensed with Stifel, Nicolaus & Company. Roberts is the Managing Director of the CR Wealth Management Group. Our firm currently has two pending arbitrations, one for a family based in Los Angeles and a second for a… Read More »
