Former Arden Hills, Minnesota financial advisor Nicholas Stovall (CRD# 5581487) was recently sanctioned and barred in connection with allegations that...
Read MoreRecent Blog Posts
John Larkin: $137K Complaint Against Merrill Lynch Advisor
A recent investor complaint against Westfield, New Jersey financial advisor John Larkin (CRD# 1144419) alleges that his conduct resulted in damages exceeding $100,000. Records provided by the Financial Industry Regulatory Authority show that he is a broker and an investment advisor with Merrill Lynch, whose website describes him as a member of The Larkin… Read More »
Richard Matheis: FINRA Bars Vista Wealth Management Advisor
Former Overland Park financial advisor Richard Matheis (CRD# 869179) was recently barred from acting as a broker following an investigation into potential sales practice violations. Financial Industry Regulatory Authority records show that the former Union Capital broker is an investment advisor with Lexaurum Advisors and the president of Vista Wealth Management.
Raymond Byers: $600K Complaint Against UBS Advisor
Mishawaka, Indiana financial advisor Raymond Byers (CRD# 2590926) recently received an investor complaint alleging his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with UBS Financial Services, having previously been registered with Merrill Lynch.
Jack Dougherty: LPL Fires Gladstone Wealth Advisor
Former Blue Bell, Pennsylvania financial advisor Jack Dougherty (CRD# 3018615) was recently terminated by his former employer in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former LPL Financial representative, who has also received a pending investor complaint, did business as Gladstone Wealth Partners.
Kevin Canterbury: $100K Complaint Against Ex-Coastal Equities Advisor
Scottsdale financial advisor Kevin Canterbury (CRD# 4939385) has received multiple investor complaints alleging his conduct resulted in six-figure losses. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Coastal Equities broker is currently an investment advisor with CS Planning Corporation.
Gus Mask: Did Ex-Cambridge Advisor Recommend Unsuitable Products?
Fort Worth financial advisor Gus Mask (CRD# 5359820) recently received an investor complaint alleging his conduct resulted in losses exceeding $100,000. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Charles Schwab & Company, having previously been registered with USAA Financial Advisors and Cambridge Investment Research.
Ramses Fisher: FINRA Recommends Action Against Vault Capital Advisor
Malibu financial advisor Ramses Fisher (CRD# 6012559) allegedly engaged in a “deceptive scheme” when selling securities to an investor, according to a recent regulatory investigation. Financial Industry Regulatory Authority records show that the former AXA Advisors broker is currently an investment advisor with Vault Capital.
Joseph Muller: CP Wealth Advisor Denies Bond Complaint
Manchester, Missouri financial advisor Joseph Muller (CRD# 6092175) recently received an investor complaint alleging his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Moloney Securities, doing business as CP Wealth Management.
Bill Addison: Community Financial Advisor Faces $700K Complaint
Columbia, South Carolina financial advisor Bill Addison (CRD# 6152328) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker with LPL Financial and an investment advisor with Independent Advisor Alliance, doing business as First Community Financial Consultants.
Spencer Miller: Private Placement Complaint Against Merrill Advisor
Westlake Village financial advisor Spencer Miller (CRD# 6273107) recently received an investor complaint alleging his advice resulted in losses. Records provided by the Financial Industry Regulatory Authority show that he is a broker and an investment advisor with Merrill Lynch. He is also registered with the firm’s office in Boise, Idaho.
