Former New York City financial advisor Sung Moo Cho (CRD# 5015906) was recently sanctioned and barred in connection with misappropriation...
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Ryan Ainsworth: $465K Complaint Against Northwestern Advisor
Gilbert, Arizona financial advisor Ryan Ainsworth (CRD# 5740339) recently received an investor complaint alleging that his conduct resulted in losses exceeding $400,000. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Northwestern Mutual Investment Services.
Garrick Gookin: SWPMG Advisor Faces $100K Complaint
Rocklin, California financial advisor Garrick Gookin (CRD# 4925108) 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 Centaurus Financial, doing business as South Placer Wealth Management Group.
Edward Schuh: Inception Financial Advisor Faces $1.2mm Complaint
Tustin, California financial advisor Edward Schuh (CRD# 6778484) recently received an investor complaint alleging that his conduct resulted in damages exceeding $1 million. Securities and Exchange Commission records show that he is currently registered as an investment advisor with Inception Financial Services, having previously been registered with Alphastar Capital Management.
Richard Crittenden: Did Janney Advisor Make Unauthorized Trades?
A recent investor complaint against Richmond, Virginia financial advisor Richard Crittenden (CRD# 1190153) alleges that he made unauthorized transactions, resulting in losses. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Janney Montgomery Scott.
William Bredthauer: Ameriprise Advisor Received $354K Complaint
Hopewell Junction, New York financial advisor William Bredthauer (CRD# 2266233) recently received an investor complaint alleging that his conduct resulted in damages exceeding $300,000. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Ameriprise Financial Services.
Cynthia Magner: Ameriprise Advisor Lands $100K Annuity Complaint
Concord, New Hampshire financial advisor Cynthia Magner (CRD# 2591698) allegedly recommended an unsuitable variable annuity investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Ameriprise Financial Services.
Erik Olson: $104K Complaint Against Arete Wealth Advisor
A recent investor complaint against Crystal Lake, Illinois financial advisor Erik Olson (CRD# 4794857) alleges that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Arete Wealth.
Curtis Edmark: Pioneer Advisor Lands $150K Complaint
Greenfield, Wisconsin financial advisor Curtis Edmark (CRD# 1596961) recently received an investor complaint alleging that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Centaurus Financial, doing business as Pioneer Financial Group.
Isaiah Williams: Merrill Advisor Faces Misrepresentation Complaint
Fort Lauderdale financial advisor Isaiah Williams (CRD# 6211219) 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 Merrill Lynch.
Azmi Sharif: Ex-LPL Advisor Suspended over Crypto Investments
Oakbrook Terrace, Illinois financial advisor Azmi Sharif (CRD# 6481342) was recently suspended in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the KCD Financial broker and Fourstar Wealth advisor was previously registered with LPL Financial, which fired him in 2022.
