First Liberty Building & Loan, LLC and its founder-owner Edwin Brant Frost IV allegedly orchestrated a Ponzi scheme in which...
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Diego Canalda: Raymond James Denies $203K Complaint
Miami financial advisor Diego Canalda (CRD# 2952690) recently received an investor complaint alleging that he recommended an unsuitable bond. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Stifel Nicolaus & Company, having previously been registered with Raymond James & Associates.
Brandon Jochim: Ameriprise Advisor Faces $250K Complaint
Portland financial advisor Brandon Jochim (CRD# 4478208) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is currently registered as a broker with Ameriprise Financial Services, having previously been registered with IDS Life Insurance Company.
Blake Lynch: Securities America Advisor Fired by Cetera
Omaha, Nebraska financial advisor Blake Lynch (CRD# 6650717) was recently fired by a former member firm in connection with alleged policy violations. Financial Industry Regulatory Authority records show that he is currently registered as a broker with Securities America and that he is a representative of WealthPLAN Partners.
Andre Lee: Merrill Lynch Advisor Faces Suitability Complaint
A recent investor complaint against Melville, New York financial advisor Andre Lee (CRD# 6979193) alleges that he failed to uphold a customer’s best interest. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Merrill Lynch.
Javier Reyes: $15 Million Complaint Against Select Wealth Advisor
San Juan, Puerto Rico financial advisor Javier Reyes (CRD# 3014365) recently received an investor complaint alleging that his advice led to eight-figure damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that he is currently registered as an investment advisor with Arkadios Wealth Advisors, doing business as Select Wealth.
Mark Katz: Western International Advisor Lands $358K Complaint
Pasadena, California financial advisor Mark Katz (CRD# 3055019) recently received an investor complaint alleging that he effected unauthorized transactions. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Western International Securities.
Connor Seedall: $329K Complaint Against Former Arete Advisor
A recent investor complaint against Liberty Lake, Washington financial advisor Connor Seedall (CRD# 6418732) alleges that his advice resulted in 6-figure losses. Financial Industry Regulatory Authority records show that he is currently registered as a broker with DAI Securities and an investment advisor with DAI Wealth.
Brian Graham: Cetera Advisor Faces $50K Investor Complaint
Plainfield, Illinois financial advisor Brian Graham (CRD# 2581633) allegedly made unauthorized withdrawals, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is currently a broker and an investment advisor registered with Cetera, doing business as Graham Capital Management.
Russell Green: $410K Complaint Against RPG Wealth Advisor
Syosset, New York financial advisor Russell Green (CRD# 1391627) recently received an investor complaint alleging that his conduct resulted in damages of more than $400,000. Financial Industry Regulatory Authority records show that he is currently registered as a broker with Cabot Lodge Securities and an investment advisor with CL Wealth Management, doing business as… Read More »
Peter Huminski: Fortress Advisor Fired by Blue Jasper Capital
Raleigh, North Carolina financial advisor Peter Huminski (CRD# 4591190) was recently fired from his former member firm in connection with allegations that he improperly took a loan from a client. Financial Industry Regulatory Authority records show that the former Blue Jasper Capital advisor is currently registered as a broker with Fortress Private Ledger.
