Dallas, Texas financial advisor Lilly Han (CRD# 6781075) allegedly misrepresented private placements, according to a recent investor complaint. Financial Industry...
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Andrew Brower: HudsonPoint, Ex-B. Riley Advisor Faced $70K Complaint
Jersey City, New Jersey financial advisor Andrew Brower (CRD# 5809217) 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 Arete Wealth, doing business as HudsonPoint Capital. Mr. Brower’s BrokerCheck report discloses one investor… Read More »
Aaron Rask: Suitability Allegations Against Ex-NYLife Advisor
A recent investor complaint against Broomfield, Colorado financial advisor Aaron Rask (CRD# 5960444) alleges that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker with MML Investors Services, also known as MassMutual, having previously been registered with NYLife Securities.
Peter Chow: Cetera Advisor Lands Suitability Complaint
Arcadia, California financial advisor Peter Chow (CRD# 6125403) 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 Cetera Investment Services, having previously been registered with Citigroup Global Markets.
Matt Mitcham: Cambridge Advisor Fined by Alabama Securities Commission
Pell City, Alabama financial advisor Matt Mitcham (CRD# 5481389) is the subject of a regulatory action 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 Cambridge Investment Research.
Chi-I Huang: $350K Complaint Against Integral Financial Advisor
A recent investor complaint against San Jose, California financial advisor Chi-I Huang (CRD# 5387713) alleges that her conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that she is registered as a broker with Integral Financial.
Chad Noble: $90K Complaint Against Ameriprise, Ex-FSC Advisor
A recent investor complaint against The Villages, Florida financial advisor Chad Noble (CRD# 4774817) alleges misconduct relating to alternative investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Ameriprise Financial Services.
Troy Tremblay: $88K Complaint Against Tremblay Financial Advisor
Nashville, Tennessee financial advisor Troy Tremblay (CRD# 4625407) has received multiple investor complaints 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 Tremblay Financial Services.
Scott Jackson: $100K Complaint Against JW Cole/KASE Advisor
Tampa, Florida financial advisor Scott Jackson (CRD# 4443921) allegedly misrepresented investments, according to an investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with JW Cole, and that he is a representative of KASE Wealth Advisors.
Mark Connolly, Donna Bromfield-Day & Amanda Sosa: $964K Complaint
Fort Worth, Texas financial advisors Mark Connolly (CRD# 4443644), Donna Bromfield-Day (CRD# 5480459), and Amanda Sosa (CRD# 5526300) recently received an investor complaint alleging unauthorized trades. Financial Industry Regulatory Authority records show that they are each registered as a broker and an investment advisor with Wells Fargo.
Carlson Law Investigating Failed Marijuana Deal Nature’s Wonder
Carlson Law, P.A. is investigating a failed investment in a marijuana business, ACP Investments, LLC believed to be doing business as Nature’s Wonder, which raised money from investors through ATX Global Co-Invest Wellness Consolidation, LP. It appears money was raised for the deal by Prime Capital Financial and ATX Venture Partners, including investment advisor Matt Nelson. Carlson Law… Read More »
