Former New York City financial advisor Sung Moo Cho (CRD# 5015906) was recently sanctioned and barred in connection with misappropriation...
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Kevin Kelly & Chris Kirkland: Legacy Advisors Face $999K Complaint
Atlanta financial advisor Kevin Kelly (CRD# 2293119) and Chris Kirkland (CRD# 5602044) have received multiple investor complaints alleging that their advice resulted in damages of at least $900,000. Financial Industry Regulatory Authority records show that the Avantax representatives do business as Legacy Capital Advisors.
Mario Rivero: Ex-LPL Advisor Stole From Clients
Former Red Bank, New Jersey financial advisor Mario Rivero (CRD# 5856503) pleaded guilty to wire fraud and securities fraud in connection with allegations that he misappropriated his clients’ funds. Financial Industry Regulatory Authority records show that he was previously registered as a broker with LPL Financial, doing business as Gladstone Advisors.
Sean Olsen: $253K Complaint Against Garden State Advisor
Red Bank, New Jersey financial advisor Sean Olsen (CRD# 2789558) recently received an investor complaint alleging that his conduct resulted in damages exceeding $200,000. Financial Industry Regulatory Authority records show that he is registered as a broker with Garden State Securities and an investment advisor with Garden State Investment Advisory Services.
Craig Cunningham: Chicagoland Advisor Received Complaints
Orland Park, Illinois financial advisor Craig Cunningham (CRD# 2850891) has received two denied investor complaints alleging that his conduct resulted in losses. 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 Chicagoland Group.
Shannon Moore: $200K Complaint Against LPL Advisor
Jefferson City, Tennessee financial advisor Shannon Moore (CRD# 2934682) 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 with LPL Financial, doing business as Moore Investment Services and First Peoples Financial Services.
Paul Raehpour: Merrill Lynch Advisor Faces ETF Allegations
A recent investor complaint against McKinney, Texas financial advisor Paul Raehpour (CRD# 4508598) alleges that she made unauthorized exchange-traded fund transactions. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch.
Ron Amir: Clarity Capital Advisor Received Bond Complaint
Newport Beach, California financial advisor Ron Amir (CRD# 4565409) allegedly recommended an unsuitable investment, according to a recent, denied investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with American Trust Investment Services and an advisor with Clarity Capital Partners.
Sam Barber: $80K Complaint Against Chittenden Financial Advisor
Naugatuck, Connecticut financial advisor Sam Barber (CRD# 4750380) allegedly recommended an unsuitable 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 LifeMark Securities Corporation, doing business as Chittenden Financial Services.
Jennifer Yoon: $200K Complaint Against Morgan Stanley Advisor
Menlo Park, California financial advisor Jennifer Yoon (CRD# 6864788) recently received an investor complaint alleging that her conduct resulted in damages. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Morgan Stanley, having previously been registered with Merrill Lynch.
Wally Davis: Oppenheimer Advisor Denies Trading Complaint
New York City financial advisor Wally Davis (CRD# 1532144) made unauthorized trades, according to a recent, denied investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Oppenheimer & Company, and that he is also registered with the firm’s office in Westport, Connecticut.
