Former New York City financial advisor Sung Moo Cho (CRD# 5015906) was recently sanctioned and barred in connection with misappropriation...
Read MoreRecent Blog Posts
Davin Carey: Avantax Advisor Receives $125K Complaint
Oxnard, California financial advisor Davin Carey (CRD# 5413012) recently received an investor complaint alleging that his conduct resulted in losses exceeding $100,000. Financial Industry Regulatory Authority records show that he is registered as a broker with Avantax Investment Services and an advisor with Avantax Advisory Services.
Robert Palatella: $500K Complaint Against Wells Fargo Advisor
La Jolla, California financial advisor Robert Palatella (CRD# 1492207) recently received an investor complaint alleging that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Wells Fargo Clearing Services and an investment advisor with Wells Fargo Advisors.
Benny Ongkobudidjojo: TransAmerica Advisor Lands $225K Complaint
Houston financial advisor Benny Ongkobudidjojo (CRD# 5668611) recently received an investor complaint alleging that his advice resulted in damages exceeding $200,000. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with TransAmerica Financial Advisors.
Regina Frias: Vanderbilt Advisor Fired by TransAmerica
Seal Beach, California financial advisor Regina Frias (CRD# 2748727) was recently terminated from her position at TransAmerica financial services. Financial Industry Regulatory Authority records show that she is now registered as a broker with Vanderbilt Securities and an investment advisor with Vanderbilt Advisory Services.
Bryan Noonan: FINRA Bars Former Raymond James Advisor
Scottsdale, Arizona financial advisor Bryan Noonan (CRD# 4864372) was recently sanctioned by FINRA and barred from acting as a broker or otherwise associating with a broker-dealer firm. Financial Industry Regulatory Authority records show that his registration history includes Edward Jones and Raymond James Financial Services.
Ron Chronister: FINRA Suspends LPL Advisor
Wichita, Kansas financial advisor Ron Chronister (CRD# 3255653) was recently sanctioned and suspended in connection with allegations of unauthorized trading. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial.
Tom Reyes: FINRA Bars Former Raymond James Advisor
Former La Vista, Nebraska financial advisor Tom Reyes (CRD# 3168338) was recently sanctioned in connection with improper annuity sales. Financial Industry Regulatory Authority records show that the former Raymond James Financial Services and NEXT Financial Group broker is currently not registered with any broker-dealer firm.
Les Miles: Why Was Vanderbilt Advisor Fired by First Heartland?
Starkville, Mississippi financial advisor Les Miles (CRD# 5157562) was recently fired by his former member firm in connection with allegations of alleged rule violations. Financial Industry Regulatory Authority records show that the former First Heartland Capital broker is currently registered with Vanderbilt Securities.
Bart Harrison: Legacy 1031 Advisor Faces DST Complaint
Trussville, Alabama financial advisor Bart Harrison (CRD# 1616987) recently received an investor complaint in connection with a Delaware Statutory Trust investment. Financial Industry Regulatory Authority records show that he is a broker registered with Concorde Investment Services and the president of Legacy 1031.
Stuart Spivak: $150K Complaint Against Spivak Financial Group Advisor
Scottsdale financial advisor Stuart Spivak (CRD# 1883651) recently received an investor complaint alleging 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 Centaurus Financial, doing business as The Spivak Financial Group.
