A recently published news release describes an investigation into allegations that broker-dealer firm Forge Securities (CRD# 134596) played a role...
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Stephen Wiedemann: $400K Complaint Against Wells Fargo Advisor
Newport Beach, California financial advisor Stephen Wiedemann (CRD# 2212349) allegedly made unsuitable investment recommendations, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Wells Fargo.
Jacob Harvey: $100K-$500K Complaint Against Realta Advisor
A recent investor complaint against Neosho, Missouri financial advisor Jacob Harvey (CRD# 6410027) alleges that his advice resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Realta Equities and an investment advisor with Realta Investment Advisors.
Matthew Chancey: Realta Advisor Faces 6-Figure Complaint
Winter Park, Florida financial advisor Matthew Chancey (CRD# 5645874) recently received an investor complaint alleging that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Realta Equities and Realta Investment Advisors, respectively.
Erik Antener: $150K Complaint Against Park Avenue Advisor
Austin, Texas financial advisor Erik Antener (CRD# 5329953) allegedly made unauthorized 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 Park Avenue Securities.
Michael Pak: $200K Complaint Against Citigroup Advisor
Bronx, New York financial advisor Michael Pak (CRD# 4052829) allegedly recommended an unsuitable structured note, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Citigroup Global Markets.
Emmet Martin: $150K Complaint Against Trustmont Advisor
A recent investor complaint against Mauldin, South Carolina financial advisor Emmet Martin (CRD# 3053367) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Trustmont Financial Group and an investment advisor with Trustmont Advisory Group.
Kevin Forrest: $2mm Complaint Against Morgan Stanley Advisor
Miami, Florida financial advisor Kevin Forrest (CRD# 5873266) allegedly recommended an unsuitable options strategy, 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.
Reed Haimson: $475K Complaint Against Great Point Advisor
Lakewood, Colorado financial advisor Reed Haimson (CRD# 5533993) allegedly made an unsuitable investment recommendation, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Great Point Capital and Quincy Wells Advisors, respectively.
Simon Petro: Suitability Complaint Against Morgan Stanley Advisor
Roseville, California financial advisor Simon Petro (CRD# 6899791) recently received an investor complaint alleging that his advice resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Morgan Stanley.
Jeff Frankos: $10mm Complaint Against Raymond James Advisor
A recent investor complaint against San Francisco, California financial advisor Jeff Frankos (CRD# 4006785) alleges that his conduct resulted in damages exceeding $10 million. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Raymond James & Associates.
