A recently published news release describes an investigation into allegations that broker-dealer firm Forge Securities (CRD# 134596) played a role...
Read MoreRecent Blog Posts
Joshua Helvie: Why Was Vanderbilt Advisor Fired by LPL?
Zionsville, Indiana financial advisor Joshua Helvie (CRD# 2894058) was recently fired by his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former LPL Financial representative is currently registered as a broker with Vanderbilt Securities and an investment advisor with Vanderbilt Advisory Services.
Andy Tressler: Why Was Modern Capital Advisor Fired by Trident?
Raleigh, North Carolina financial advisor Andy Tressler (CRD# 2776349) was recently terminated from his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Trident Partners representative is currently registered as a broker and advisor with Modern Capital Securities.
Andres Fernandez: $1.4mm Complaint Against Wealth Enhancement Advisor
A recent investor complaint against Great Neck, New York financial advisor Andres Fernandez (CRD# 5868791) alleges that his conduct resulted in damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Charles Schwab broker is currently registered as an investment advisor with Wealth Enhancement Advisory Services.
Reid & Rudiger Complaint: FINRA Alleges Churning, Excessive Trading
A disciplinary proceeding released by the Financial Industry Regulatory Authority (FINRA) Department of Enforcement alleges that broker-dealer firm Reid & Rudiger “churned and/or excessively traded 20 customers’ accounts” over a period of six years. In addition to naming the firm as respondent, FINRA alleges that representatives Edward Rudiger (CRD# 2118724) and Clifford Reid (CRD#… Read More »
Danish Rauf: FINRA Bars Ex-US Bancorp Advisor
Former Des Plaines, Illinois financial advisor Danish Rauf (CRD# 5006655) was recently sanctioned and barred in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with US Bancorp Investments.
Mitch Arnold: $400K Complaint Against LPL Advisor
A recent investor complaint against Lake Mary, Florida financial advisor Mitch Arnold (CRD# 1721111) alleges 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 LPL Financial, doing business as Financial Services of Central Florida.
Nick Photiadis: $288K REIT Complaint Against LPL Advisor
Paramus, New Jersey financial advisor Nick Photiadis (CRD# 2978120) 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 LPL Financial.
Jim Ratigan: Rockefeller Advisor Lands Investor Complaint
Doral, Florida financial advisor Jim Ratigan (CRD# 2164078) allegedly made misrepresentations of material facts, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Seabrook Partners and an investment advisor with Rockefeller Financial.
Chris Chlupp: Baird Advisor Received Investor Complaint
A recent, denied investor complaint against West Bend, Wisconsin financial advisor Chris Chlupp (CRD# 2950578) 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 Robert W. Baird.
Mark Kissinger: Suitability Complaint Against NYLife Advisor
A recent investor complaint against Frisco, Texas financial advisor Mark Kissinger (CRD# 4546631) alleges that he recommended an unsuitable investment. Financial Industry Regulatory Authority records show that he is registered as a broker with NYLife Securities and an investment advisor with Eagle Strategies, doing business as Kissinger Financial Services.
