A recent investor complaint against Santa Monica, California financial advisor Matt Ward (CRD# 2075525) alleged that his conduct resulted in...
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Jerice Walker: $1mm Complaint Against Wells Fargo Advisor
Irvine, California financial advisor Jerice Walker (CRD# 5040177) recently received an investor complaint alleging that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Wells Fargo Clearing Services and Wells Fargo Advisors, respectively. Mr. Walker’s BrokerCheck report discloses one… Read More »
Mike Ginestro: $2.4mm Complaint Against Merrill Advisor
A recent investor complaint against Los Angeles financial advisor Mike Ginestro (CRD# 2468911) alleges 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 Merrill Lynch.
Ali Chehab: FINRA Files Complaint Against Ex-Merrill Advisor
Former Portland, Oregon financial advisor Ali Chehab (CRD# 7625979) was recently named respondent in a regulatory complaint alleging that he engaged in sales practice violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Merrill Lynch.
Andrew Mack: FINRA Suspends Former AGP Advisor
Former Greenwich, Connecticut financial advisor Andrew Mack (CRD# 5932062) 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 Raymond James Financial Services, before which he was registered with Alliance Global Partners. He did business as Tempus… Read More »
Jeff Meyers: $100K Complaint Against Meyers Wealth Advisor
A recent investor complaint against Overland Park, Kansas financial advisor Jeff Meyers (CRD# 2192759) 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 Osaic Wealth, doing business as Meyers Wealth Management.
Steve Mattocks: Osaic Advisor Lands $118K REIT Complaint
Wichita, Kansas financial advisor Steve Mattocks (CRD# 2193216) allegedly sold unsuitable real estate investment trust products, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Osaic Wealth. He is also the owner of Wheatland Insurance Group.
Edwin Lickiss: DOJ Alleges Ponzi Scheme by Suspended Bay Area Advisor
Alamo, California financial advisor Edwin Lickiss (CRD# 844969) was recently charged by the US Department of Justice with wire fraud and money laundering in connection with an alleged Ponzi scheme. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Investment Architects, and he was formerly the owner… Read More »
Dan Pikula: $1.5mm Complaint Against Money Manager Advisor
Wellington, Florida financial advisor Dan Pikula (CRD# 2563165) recently received an investor complaint alleging that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Emerson Equity and an investment advisor with Money Manager.
Steve Menke: Strategic Wealth Advisor Faces Oil & Gas Complaint
A recent investor complaint against Lawrence, Kansas financial advisor Steve Menke (CRD# 4548579) alleges that his advice resulted in losses. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Cambridge Investment Research and that he is a representative of Strategic Wealth.
Barbara Wooden: $100K Complaint Against Primerica Advisor
Lake Worth, Florida financial advisor Barbara Wooden (CRD# 4921913) recently received an investor complaint alleging that she recommended an unsuitable investment. Financial Industry Regulatory Authority records show that she is registered as a broker with PFS Investments and an investment advisor with Primerica Advisors.
