Torrance, California financial advisor Rod Uy (CRD# 4945992) allegedly made misrepresentations of material facts, according to a recent investor complaint....
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John Dewitt: Ausdal Advisor Faces $100K GWG Complaint
Moline, Illinois financial advisor John Dewitt (CRD# 1999161) 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 Ausdal Financial Partners.
Leslie Lauer: $500K-$1mm Complaint Against Ex-UBS Advisor
Atlanta financial advisor Leslie Lauer (CRD# 2941432) recently received an investor complaint in connection with an options overlay strategy. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with RBC Capital Markets, having previously been registered with UBS Financial Services.
Rodrigue Lors: $150K Complaint Against Wilmington Capital Advisor
Westport, New York financial advisor Rodrigue Lors (CRD# 4379214) recently received an investor complaint alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Wilmington Capital Securities, having previously been registered with National Securities Corporation.
Barry Dow: 6-Figure Complaint Against Dempsey Advisor
A recent investor complaint against Rome, Georgia financial advisor Barry Dow (CRD# 4827935) alleges that he provided unsuitable investment advice. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Dempsey Lord Smith.
Joel Parady, ReJoyce Advisor, Barred over Fraud Allegations
Carmel, Indiana financial advisor Joel Parady (CRD# 6938873) was recently terminated by Howard Bailey Securities in connection with an enforcement action against him. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that he is currently registered as an investment advisor with ReJoyce Wealth Management.
Phil Jones: $5 Million Complaint Against Merrill Lynch Advisor
Houston financial advisor Phil Jones (CRD# 2445213) recently received an investor complaint alleging that his advice resulted in losses. Records maintained by the Financial Industry Regulatory Authority indicate that he is currently registered as a broker and an investment advisor with Merrill Lynch.
Brandon Asher: Merrill Lynch Advisor Faces Complaint
A recent investor complaint against Westlake Village, California financial advisor Brandon Asher (CRD# 5924831) alleges that he made unsuitable recommendations. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Merrill Lynch, whose website describes him as a member of the Miller Asher Group.
Brad Frisk: Legacy Wealth Advisor Lands Investor Complaint
Sacramento financial advisor Brad Frisk (CRD# 5957389) allegedly invested funds without authorization, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Raymond James Financial Services, doing business as Legacy Wealth Management. He was previously a representative of Wells Fargo Advisors.
Michael Rudio: Suitability Complaint Against Ex-LPL Advisor
A recent investor complaint against Atlanta financial advisor Michael Rudio (CRD# 6322313) alleges that his advice resulted in losses. Financial Industry Regulatory Authority records show that he is registered as a broker with Purshe Kaplan Sterling Investments and an investment advisor with Phase Line Capital.
Dave Taddeo: $124K Complaint Against Summit Wealth Advisor
La Mesa, California financial Dave Taddeo (CRD# 1163829) recently received an investor complaint alleging that his investment advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with LPL Financial, doing business as Summit Wealth Solutions.
