Torrance, California financial advisor Rod Uy (CRD# 4945992) allegedly made misrepresentations of material facts, according to a recent investor complaint....
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Edward Rudiger: $1.2mm Complaint Against Reid & Rudiger Advisor
New York City financial advisor Edward Rudiger (CRD# 2118724) has received multiple investor complaints alleging that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Reid & Rudiger.
Sonja Parker: Edward Jones Advisor Receives Investor Complaint
Inman, South Carolina financial advisor Sonja Parker (CRD# 5506435) allegedly made an unauthorized funds transfer, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Edward Jones.
Harold Puhl: $100K Complaint Against Cetera Advisor
Leander, Texas financial advisor Harold Puhl (CRD# 1045552) recently received an investor complaint alleging that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Cetera Investment Services and an advisor with Cetera Investment Advisers.
Ramon Haile: Suitability Complaint Against Avantax Advisor
Hamilton, Texas financial advisor Ramon Haile (CRD# 2010552) recently received an investor complaint alleging that his advice resulted in losses. Financial Industry Regulatory Authority records show that he is registered as a broker with Avantax Investment Services and an advisor with Avantax Advisory Services.
Tammy Bowman: Janney Advisor Lands $140K Complaint
Royersford, Pennsylvania financial advisor Tammy Bowman (CRD# 2159262) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Janney Montgomery Scott, whose website describes her as a member of Bowman Maurer Wealth Management, a practice within… Read More »
Joel Minner: $65K Complaint Against Ex-Avantax Advisor
Clarksville, Tennessee financial advisor Joel Minner (CRD# 6829281) recently received an investor complaint alleging that he recommended unsuitable investments. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Avantax Investment Services broker is registered as an investment advisor with Optional Financial Strategies. He is also the vice president of… Read More »
P. Alison Fleming: $500K Complaint Against Lumena Advisor
A recent investor complaint against San Diego financial advisor P. Alison Fleming (CRD# 1960175) alleges that her advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with LPL Financial, doing business as Lumena Financial Services.
John Lemak: $475K Complaint Against Axiom Advisor
New York City financial advisor John Lemak (CRD# 845891) allegedly breached his fiduciary duty, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Axiom Capital Management and an investment advisor with Sandor Advisors.
Joe Zheng: JK Financial Advisor Faces $1.9 Million Complaint
Norco, California financial advisor Joe Zheng (CRD# 2318835) recently received an investor complaint alleging that his advice resulted in damages exceeding $1.9 million. Financial Industry Regulatory Authority records show that he is registered as a broker with JK Financial Services.
James Christopher: LPL Advisor Faces Structured Product Complaint
Long Island City financial advisor James Christopher (CRD# 5761273) 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 LPL Financial, doing business as Webster Investments.
