Former New York City financial advisor Sung Moo Cho (CRD# 5015906) was recently sanctioned and barred in connection with misappropriation...
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Cathy Bramlett: Thrivent Advisor Sanctioned
Dodgeville, Wisconsin financial advisor Cathy Bramlett (CRD# 2063221) was recently sanctioned in connection with allegations that she recommended an unsuitable trade. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Thrivent Investment Management.
Rob Cohen: Stifel Advisor Receives Mutual Fund Complaint
Melville, New York financial advisor Robert Cohen (CRD# 1162192) has received multiple 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 Stifel Nicolaus & Company, having previously been registered with UBS Financial Services.
John Howle: $499K Complaint Against USCA Advisor
A recent investor complaint against Dallas financial advisor John Howle (CRD# 1284162) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with USCA Securities and an investment advisor with US Capital Wealth Advisors.
Ken Maring: Great Basin Advisor Lands Misrepresentation Complaint
San Diego financial advisor Ken Maring (CRD# 1500005) recently received an investor complaint alleging that his conduct resulted in damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Morgan Stanley broker is currently registered with Concurrent Investment Advisers, doing business as Great Basin Asset Management.
Dan Silverberg: UBS Advisor Faces Investor Complaint
A recent investor complaint against Philadelphia, Pennsylvania financial advisor Dan Silverberg (CRD# 1576956) alleges that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with UBS Financial Services.
Shawn Patt: Complaint Against Ex-RBC Advisor Settles for $92K
Calabasas, California financial advisor Shawn Patt (CRD# 4484268) recently received an investor complaint that reached a settlement exceeding $90,000. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former RBC Capital Markets broker is currently registered as an investment advisor with Atala Financial.
Dan Ahlrichs: Why Did Upstream Advisor Resign from Northwestern?
Bellevue, Washington financial advisor Dan Ahlrichs (CRD# 5531884) recently resigned from Northwestern Mutual Investment Services in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is now registered as a broker with LPL Financial, doing business as Upstream Investment Partners.
Trent White: Ex-Vanguard Advisor Received Bond Complaint
Scottsdale, Arizona financial advisor Trent White (CRD# 5592137) recently received an investor complaint alleging that his conduct resulted in losses. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Vanguard broker is currently registered as an investment advisor with Omnia Wealth Management.
Gali Horev: $394K Complaint Against Dempsey Lord Smith Advisor
A recent investor complaint against Irvine, California financial advisor Gali Horev (CRD# 5138931) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Dempsey Lord Smith, as well as a representative of HN Financial Group.
Kelly Hejtmancik: MassMutual Advisor Lands $91K Complaint
Houston financial advisor Kelly Hejtmancik (CRD# 4535262) recently received an investor complaint 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 MML Investors Services, also known as MassMutual.
