Torrance, California financial advisor Rod Uy (CRD# 4945992) allegedly made misrepresentations of material facts, according to a recent investor complaint....
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Jeremy Maurer: Wells Fargo Advisor Lands $172K Complaint
A recent investor complaint against Roseville, California financial advisor Jeremy Maurer (CRD# 5801701) alleges 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.
Kevin Dauphinee: $100K-$500K Complaint Against Ex-Portsmouth Advisor
Las Vegas financial advisor Kevin Dauphinee (CRD# 5847437) allegedly provided unsuitable investment advice, according to a recent investor complaint. Securities and Exchange Commission records show that the former Portsmouth Financial Services broker is currently registered as an investment advisor with CreativeOne Wealth and is a representative of Gold Standard Wealth Management.
Seth Gansman: Ameriprise Advisor Faces $500K Complaint
Blue Bell, Pennsylvania financial advisor Seth Gansman (CRD# 6003662) 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.
Jason Salmon: $999K Complaint Against Ex-WealthForge Advisor
A recent investor complaint against Torrance, California financial advisor Jason Salmon (CRD# 6081963) alleges that he misrepresented and recommended an unsuitable investment. Financial Industry Regulatory Authority records show that he is registered as a broker with FNEX Capital, having previously been registered with WealthForge Securities.
Thomas Steele: $175K Complaint Against Morgan Stanley Advisor
Atlanta, Georgia financial advisor Thomas Steele (CRD# 6131730) 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 Morgan Stanley.
Francisco Escalera: Edward Jones Advisor Lands ETF Complaint
Midland, Texas financial advisor Francisco Escalera (CRD# 6242161) 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 Edward Jones.
Vincenzo Garganese: $139K Complaint Against Vis Wealth Advisor
Portland, Maine financial advisor Vincenzo Garganese (CRD# 6760844) recently received an investor complaint alleging that his advice resulted in damages exceeding $100,000. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with MassMutual, doing business as Vis Wealth Partners.
Hiroshi Mizutani: $200K Bond Complaint Against WIS Advisor
Pasadena, California financial advisor Hiroshi Mizutani (CRD# 3259903) 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 and an investment advisor with Western International Securities.
Aaron Wilkinson: Edward Jones Advisor Receives $173K Complaint
A recent investor complaint against Goshen, Indiana financial advisor Aaron Wilkinson (CRD# 2756359) alleges 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 Edward Jones.
Barry Marks: Did Merrill Advisor Misappropriate Funds?
Chicago financial advisor Barry Marks (CRD# 704929) allegedly misappropriated customer funds, 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.
