Murray, Utah financial advisor Ray DeWitt (CRD# 2894063) allegedly violated federal securities law, according to a recent investor complaint. Financial...
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Wrenn Cox: Ameriprise Advisor Faces $175K Complaint
Mechanicsville, Virginia financial advisor Wrenn Cox (CRD# 5802626) 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 Ameriprise Financial Services.
Ashish Chowdhry: $1mm Complaint Against MML Advisor
New York City financial advisor Ashish Chowdhry (CRD# 3249567) 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 MML Investors Services, also known as MassMutual.
Shaun Orcinolo: Morgan Stanley Advisor Lands $2mm Complaint
Fort Lauderdale, Florida financial advisor Shaun Orcinolo (CRD# 2433357) recommended unsuitable annuities, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Morgan Stanley.
Evan Adelglass: $600K Complaint Against Adelglass Wealth Advisor
Multiple investor complaints against Ansonia, Connecticut financial advisor Evan Adelglass (CRD# 2392225) alleges that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, doing business as Adelglass Wealth Management.
Peter Barry: $1.4mm Complaint Against Raymond James Advisor
Los Angeles financial advisor Peter Barry (CRD# 2235548) recently received an investor complaint alleging that his advice 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 Raymond James & Associates.
Kuldeep Madan: MML Advisor Receives $1 Million Complaint
Melville, New York financial advisor Kuldeep Madan (CRD# 6114646) 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 MML Investors Services, doing business as Madan + Associates.
Sandy Simmons: Ex-Patrick Capital Advisor Barred, Faces $1.8mm Claim
Former Castle Rock, Colorado financial advisor Sandy Simmons (CRD# 1018907) recently received a seven-figure investor complaint and was barred over alleged rule violations. Financial Industry Regulatory Authority records show that he was previously registered with Saxony Securities, Patrick Capital Markets, and Colorado Financial Service Corporation.
Kittiany Davis Barrios: FINRA Bars Ex-PFS Advisor
Former Cranbury, New Jersey financial advisor Kittiany Davis Barrios (CRD# 6941840) was recently sanctioned in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former PFS Investments broker is currently not registered with any state or broker-dealer firm.
Hal Klein: FINRA Suspends Pacific Pointe, Ex-LPL Advisor
Seal Beach, California financial advisor Hal Klein (CRD# 1021759) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is registered as a broker with NewEdge Securities and an advisor with NewEdge Advisors, doing business as Pacific Pointe Advisors.
Brendan Kelly: IFP Advisor Faces Misrepresentation Complaint
Downington, Pennsylvania financial advisor Brendan Kelly (CRD# 2208036) recently received an investor complaint alleging that his conduct resulted in losses. Financial Industry Regulatory Authority records show that the former Alera Investment Services representative is currently registered as a broker and an investment advisor with IFP Securities.
