Torrance, California financial advisor Rod Uy (CRD# 4945992) allegedly made misrepresentations of material facts, according to a recent investor complaint....
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Nancy Biddle: $100K Complaint Against Sundial Advisor
St. Pete Beach, Florida financial advisor Nancy Biddle (CRD# 2134532) recently received an investor complaint alleging 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 Osaic Wealth, and that she is the owner of Sundial Financial Group.
Randy Liggitt: Janney Advisor Fired by Truist
Columbia, South Carolina financial advisor Randy Liggitt (CRD# 2204249) was recently fired by a former broker-dealer firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Truist Investment Services broker is currently registered as a broker and an investment advisor with Janney Montgomery Scott.
Jonmark Richardson: Financial Partners Advisor Faces $219K Complaint
Glendale, Arizona financial advisor Jonmark Richardson (CRD# 4919603) recently received an investor complaint alleging that his conduct resulted in damages exceeding $200,000. Securities and Exchange Commission records show that he is registered as an investment advisor with Valhalla Advisors and a life insurance agent with Financial Partners of America.
Santiago Torres: Did Truist Advisor Misappropriate Funds?
Wyomissing, Pennsylvania financial advisor Santiago Torres (CRD# 5644622) recently received an investor complaint alleging that he misappropriated customer funds. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Truist Investment Services and Truist Advisory Services, respectively.
Richard Jackson: FINRA Suspends Equity Services Advisor
Former New York City financial advisor Richard Jackson (CRD# 2224335) has been sanctioned and suspended in connection with allegations that he violated industry rules. Financial Industry Regulatory Authority records show that he was formerly registered as a broker with Equity Services, which fired him in 2022.
Jon Barter: UBS Advisor Discloses $18 Million Bond Complaint
New York City financial advisor Jon Barter (CRD# 2975538) recently received an investor complaint alleging that his advice resulted in eight-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with UBS Financial Services, whose website describes him as a member of Barter Worden Wealth… Read More »
Michelle Anthony: Modern Wealth Advisor Discloses $100K Bond Complaint
A recent investor complaint against Tucson, Arizona financial advisor Michelle Anthony (CRD# 4512228) 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 Centaurus Financial, doing business as Modern Wealth Management.
Luke Schunk: Moloney Advisor Lands $50K-$100K Complaint
Tomahawk, Wisconsin financial advisor Luke Schunk (CRD# 2387553) recently received an investor complaint alleging that his conduct resulted in damages as high as $100,000. Financial Industry Regulatory Authority records show that he is registered as a broker with Moloney Securities, doing business as The Investment Center of Tomahawk.
Daryl Calton: Ex-Calton & Associates Advisor Lands $50K-$99K Complaint
Former Mesa, Arizona financial advisor Daryl Calton (CRD# 1002304) allegedly recommended unsuitable investments, according to a recent investor complaints. Financial Industry Regulatory Authority records show that the former Calton & Associates representative is no longer registered as a broker or an investment advisor.
Todd Paradise: Ex-Cambridge Advisor’s Clients Allege $1mm Loss
Baltimore, Maryland financial advisor Todd Paradise (CRD# 4248813) allegedly over-concentrated a customer’s portfolio and caused seven-figure damages, according to a recent lawsuit. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Cambridge Investment Research broker is currently registered as an investment advisor with WPG Financial Group.
