Former New York City financial advisor Sung Moo Cho (CRD# 5015906) was recently sanctioned and barred in connection with misappropriation...
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Steve Nielsen: Bond Complaints Against Centaurus Advisor
Recent investor complaints against Gilbert, Arizona financial advisor Steve Nielsen (CRD# 4184826) allege that he recommended unsuitable, high-risk investments. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Centaurus Financial, doing business as Nielsen Wealth Management.
Sam Prapaniku: $115K Complaint Against Ex-Bancorp Advisor
Costa Mesa, California financial advisor Sam Prapaniku (CRD# 5499421) 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 Ameriprise Financial Services, having previously been registered with US Bancorp Investments.
Mike McFeeley: Academy Advisor Lands 6-Figure Oil & Gas Complaints
York, Pennsylvania financial advisor Mike McFeeley (CRD# 5505995) allegedly recommended unsuitable oil and gas investments, according to multiple investor complaints. Financial Industry Regulatory Authority records show that he is registered with Lincoln Financial Advisors Corporation. He is also the owner of Academy Financial.
Matt Hiss: Legacy Financial Advisor Faces $125K GWG Complaint
Atwood, Kansas financial advisor Matt Hiss (CRD# 5386963) allegedly misrepresented an investment in GWG L bonds, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with IFP Securities and an investment advisor with Independent Financial Partners, doing business as Legacy Financial Solutions.
Zach Taylor: $426K Complaint Against Saxony Capital Advisor
Newport Beach, California financial advisor Zach Taylor (CRD# 6074776) allegedly made unauthorized trades and committed elder abuse, according to a recent investor complaint. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Saxony Securities broker, who did business as 9Dot Wealth, is currently an investment advisor with Saxony Capital… Read More »
Gregory Whelan: Merrill Lynch Advisor’s Client Files $2mm Complaint
A recent investor complaint alleges that Fort Lauderdale financial advisor Gregory Whelan (CRD# 5247677) made investment recommendations that resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch, where he is a member of MWD Wealth Management Group.
Tyson Allred: $1.5mm Complaint Against Members Financial Advisor
Portland, Oregon financial advisor Tyson Allred (CRD# 3081010) recently received an investor complaint alleging that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with LPL Financial, doing business as Members Financial Services.
John Mateyko: IDEX Advisor Faces $1 Million Bond Complaint
Serenbe, Georgia financial advisor John Mateyko (CRD# 3275621) allegedly recommended unsuitable corporate bonds and structured notes, according to recent investor complaints. Financial Industry Regulatory Authority records show that he is registered as a broker with Peachcap Securities and an investment advisor with Peachcap Tax & Advisory Services. He is also a representative of IDEX… Read More »
Hagin Richeson: $3mm Complaint Against Corinthian Advisor
Multiple investor complaints against Clearwater, Florida financial advisor Hagin Richeson (CRD# 5380166) allege that his conduct resulted in multimillion-dollar damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Corinthian Partners.
Lee Vaughan: Raymond James Fires COVA Wealth Advisor
Brentwood, Tennessee financial advisor Lee Vaughan (CRD# 3162268) was recently fired from Raymond James Financial Services in connection with alleged misconduct. Financial Industry Regulatory Authority records show that he is now registered as a broker and an investment advisor with LPL Financial, doing business as COVA Wealth Management.
