Dallas, Texas financial advisor Lilly Han (CRD# 6781075) allegedly misrepresented private placements, according to a recent investor complaint. Financial Industry...
Read MoreRecent Blog Posts
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.
Sherri Desjardins: Bond Complaint Against Centaurus Advisor
A recent investor complaint against Lady Lake, Florida financial advisor Sherri Desjardins (CRD# 6310011) recently received an investor complaint alleging that she recommended unsuitable investments. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Centaurus Financial, doing business as Desjardins Retirement Solutions.
Arthur DeFilippo: $500K Complaint Against Revere Advisor
Boston, Massachusetts financial advisor Arthur DeFilippo (CRD# 1348804) 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 with Revere Securities.
David Milowe: RBC Advisor Faces Mismanagement Complaint
Wellesley Hills, Massachusetts financial advisor David Milowe (CRD# 1387139) recently received an investor complaint alleging mismanagement that resulted in losses. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with RBC Capital Markets.
Ed Fredericks: Equitable Advisor Faces Trading Complaint
Milford, Connecticut financial advisor Ed Fredericks (CRD# 2202730) allegedly made unauthorized and unsuitable trades, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Equitable Advisors.
