Chicago financial advisor David Gaffney (CRD# 3004164) allegedly recommended unsuitable REITs, according to a recent investor complaint. Financial Industry Regulatory...
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Meredith Webber: FINRA Files Complaint Against Raymond James Advisor
Former Cobleskill, New York financial advisor Meredith Webber (CRD# 2435263) was recently named in a pending enforcement action. Financial Industry Regulatory Authority records show that she has previously been registered as a broker with Raymond James Financial Services and Ameriprise Financial Services.
Scot Barringer: American Trust Advisor Fined over GWG L Bond Sales
San Clemente, California financial advisor Scot Barringer (CRD# 1385168) was recently sanctioned in connection with sales of GWG L Bonds. Financial Industry Regulatory Authority records show that he is registered as a broker with American Trust Investment Services and an investment advisor with Chicago Capital Management Advisors.
Roger Nelson: Wells Fargo Advisors Faces CD Complaint
Santa Monica, California financial advisor Roger Nelson (CRD# 5527516) 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 Wells Fargo Clearing Services and Wells Fargo Advisors, respectively.
Becca Kilgore: $175K Complaint Against Edward Jones Advisor
Scottsboro, Alabama financial advisor Becca Kilgore (CRD# 5721695) recently received an investor complaint alleging that she stole funds. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Edward Jones.
Jody Vander Weide: Did Ex-Sigma Advisor Charge Unauthorized Fees?
Grand Rapids, Michigan financial advisor Jody Vander Weide (CRD# 2571083) charged unauthorized fees, according to a pending regulatory action against him. Financial Industry Regulatory Authority records show that he is registered as a broker with Osaic Wealth, having previously registered with Sigma Financial Corporation, and that he does business as Capstone Financial Services.
Roxane Rose: Investor Complaint Against Merrill Lynch Advisor
Santa Fe, New Mexico financial advisor Roxane Rose (CRD# 2722816) recently received an investor complaint alleging that she made unauthorized trades. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Merrill Lynch.
Wade Wilson: Merrill Advisor Faces Suitability Complaint
Upper Saint Clair, Pennsylvania financial advisor Wade Wilson (CRD# 3001900) allegedly misrepresented an investment, 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.
Angie Funtanilla: Wedbush Advisor Fired by Morgan Stanley
Seattle, Washington financial advisor Angie Funtanilla (CRD# 4021482) was recently terminated from her former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Morgan Stanley representative is now registered as a broker and an investment advisor with Wedbush Securities.
Jack Wong: Suitability Complaint Against Morgan Stanley Advisor
Mountain View, California financial advisor Jack Wong (CRD# 4210410) allegedly recommended unsuitable investments, 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, whose website describes him as a member of The Mountain View Group.
Charles Garrido: AGP Advisor Lands $150K GWG Complaint
Chicago, Illinois financial advisor Charles Garrido (CRD# 1191231) 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 Alliance Global Partners, also known as AGP.
