Torrance, California financial advisor Rod Uy (CRD# 4945992) allegedly made misrepresentations of material facts, according to a recent investor complaint....
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Carlson Law Investigating Former UBS Broker Michael Lipschutz
Carlson Law is investigating former Rochester, New York, UBS Broker Michael Lipschutz. We have been retained by a former client of Lipschutz who lost nearly her entire account value after Lipschutz had her transfer it to TradeStation from UBS and engaged in high-risk trading. Lipschutz was employed by UBS from 2012 through March 31,… Read More »
Mike Matteoni: $100K REIT Complaint Against MC2 Wealth Advisor
A recent investor complaint against Reno, Nevada financial advisor Mike Matteoni (CRD# 4177784) alleges that his investment advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Triad Advisors. He is a representative of MC2 Wealth Solutions.
Eric Ruthman: Ex-LPL Advisor Faces Structured Product Complaint
Atlanta financial advisor Eric Ruthman (CRD# 6281076) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that the former LPL Financial representative is currently registered as a broker with Purshe Kaplan Sterling and an investment advisor with Phase Line Capital.
Nicole Bailey: $100K-$500K Complaint Against RBC Advisor
A recent investor complaint against Denver financial advisor Nicole Bailey (CRD# 7016719) alleges that she recommended unsuitable investments. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with RBC Capital Markets.
Joel Freedman: $1.4mm Complaint Against Morgan Stanley Advisor
West Conshohocken, Pennsylvania financial advisor Joel Freedman (CRD# 1260557) recently received an investor complaint alleging that his conduct resulted in more than $1 million in damages. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Morgan Stanley.
Eric Coombs: Nationwide Advisor Resigned from Huntington
Columbus, Ohio financial advisor Eric Coombs (CRD# 2743447) recently resigned from The Huntington Investment Company in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is currently registered as a broker with Nationwide Investment Services Corporation.
Mike Savarese: America’s Retirement Advisor Lands $100K Complaint
San Diego financial advisor Mike Savarese (CRD# 1241811) recently received an investor complaint alleging that he breached his fiduciary duty. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with CreativeOne Securities, doing business as America’s Retirement Advisory Group.
Roger Roemmich: $100K Complaint Against Alexander Capital Advisor
Atlanta financial advisor Roger Roemmich (CRD# 1293322) recently received an investor complaint alleging that his investment advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Alexander Capital.
John Jacobs: Did Merrill Lynch Advisor Faces Theft Allegations
Las Cruces, New Mexico financial advisor John Jacobs (CRD# 1405497) recently received an investor complaint alleging misconduct. Records maintained by the Financial Industry Regulatory Authority indicate that he is currently registered as a broker and an investment advisor with Merrill Lynch.
Lyndon Taylor: $99K Complaint Against Choice Financial Advisor
Oklahoma City financial advisor Lyndon Taylor (CRD# 1423130) allegedly recommended unsuitable high-risk investments, according to a recent investor complaint. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that he is currently registered as an investment advisor with International Assets Investment Management and the president of Choice Financial Services.
