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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Thad Allen: $104K Complaint Against Ex-Edward Jones Advisor
Topeka, Kansas financial advisor Thad Allen (CRD# 5644772) recently received an investor complaint alleging that his conduct resulted in damages exceeding $100,000. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Smith Moore & Company, having previously been registered with Edward Jones.
Peter Shen: $440K REIT Complaint Against IFG Advisor
San Diego financial advisor Peter Shen (CRD# 5769894) has received multiple investor complaints alleging that his investment advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Realta Equities, having previously been registered with NI Advisors and Independent Financial Group.
Christian De Berardinis: Aperture Advisor Suspended by FINRA
West Palm Beach, Florida financial advisor Christian De Berardinis (CRD# 4312327) was recently suspended by FINRA in connection with alleged unapproved private offerings. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Morgan Stanley broker is currently registered as an investment advisor with Aperture Advisors.
Mark Woodward: KANA Advisor Faces Suitability Complaint
Tampa, Florida financial advisor Mark Woodward (CRD# 4064469) allegedly made an unsuitable investment recommendation, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Kestra Investment Services and an investment advisor with Kestra Advisory Services, doing business as KANA Private Wealth Group.
Taylor Davis: Meridian Advisor Lands Insurance Complaints
Lexington, Kentucky financial advisor Taylor Davis (CRD# 6646090) has received multiple investor complaints alleging that he made misrepresentations in connection with the investments he recommended. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Northwestern Mutual broker is currently registered as an investment advisor with Meridian Wealth Management.
Chad Mehle: Ex-Morgan Stanley Advisor Faces Suitability Allegations
Irvine, California financial advisor Chad Mehle (CRD# 7008517) 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 JP Morgan Securities, having previously been registered with Merrill Lynch and Morgan Stanley.
Tony Monaco: Did Merrill Advisor Misrepresent Investments?
A recent, denied investor complaint against Irvine, California financial advisor Tony Monaco (CRD# 7038609) alleged that his conduct resulted in damages. 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 JP Morgan Securities.
Juan Rascon: $1mm-$5mm Complaint Against Cetera Advisor
Houston, Texas financial advisor Juan Rascon (CRD# 5631144) allegedly recommended unsuitable investments, 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 Cetera Investment Services.
Gene Webb: Paulson Advisor Faces Unauthorized Trading Complaint
Portland, Oregon financial advisor Gene Webb (CRD# 1851855) allegedly made unauthorized purchases, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Paulson Investment Company, having previously been registered with GVC Capital.
Nathan Wallace: Why Did Savvy Fire Greyfox Advisor?
Ojai, California financial advisor Nathan Wallace (CRD# 5646552) was recently fired by the investment adviser firm Savvy in connection with alleged policy violations. Securities and Exchange Commission records show that he is now registered as an investment advisor with Greyfox Investors.
