Former New York City financial advisor Sung Moo Cho (CRD# 5015906) was recently sanctioned and barred in connection with misappropriation...
Read MoreRecent Blog Posts
Michelle Stebbins: $305K Complaint Against Stifel Advisor
Southfield, Michigan financial advisor Michelle Stebbins (CRD# 4156378) allegedly failed in her supervisory responsibilities, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is currently registered as a broker and an investment advisor with Stifel Nicolaus & Company.
Brad Bergdahl: Premier Wealth Advisor Faces Investor Complaint
Cando, North Dakota financial advisor Brad Bergdahl (CRD# 1432349) allegedly recommended an unsuitable investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that the Cetera broker and investment advisor is also the owner of Premier Wealth Management Group.
Mark VanderHagen: Wealth Advisors Group Faces $115K Complaint
A recent investor complaint against Fort Wayne, Indiana financial advisor Mark VanderHagen (CRD# 1634101) alleges that he provided misleading information regarding an investment. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Purshe Kaplan Sterling broker is currently an investment advisor with Wealth Advisors Group.
Bill Hurckes: $150K GWG Complaint Against Clarity Group Advisor
East Peoria, Illinois financial advisor Bill Hurckes (CRD# 2612833) recently received an investor complaint alleging that he committed fraud and violated securities laws in connection with the sale of GWG L bonds. Financial Industry Regulatory Authority records show that the Ausdal Financial Partners broker and investment advisor is also the owner of Clarity Group… Read More »
Diego Canalda: Raymond James Denies $203K Complaint
Miami financial advisor Diego Canalda (CRD# 2952690) recently received an investor complaint alleging that he recommended an unsuitable bond. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Stifel Nicolaus & Company, having previously been registered with Raymond James & Associates.
Brandon Jochim: Ameriprise Advisor Faces $250K Complaint
Portland financial advisor Brandon Jochim (CRD# 4478208) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is currently registered as a broker with Ameriprise Financial Services, having previously been registered with IDS Life Insurance Company.
Blake Lynch: Securities America Advisor Fired by Cetera
Omaha, Nebraska financial advisor Blake Lynch (CRD# 6650717) was recently fired by a former member firm in connection with alleged policy violations. Financial Industry Regulatory Authority records show that he is currently registered as a broker with Securities America and that he is a representative of WealthPLAN Partners.
Andre Lee: Merrill Lynch Advisor Faces Suitability Complaint
A recent investor complaint against Melville, New York financial advisor Andre Lee (CRD# 6979193) alleges that he failed to uphold a customer’s best interest. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Merrill Lynch.
Javier Reyes: $15 Million Complaint Against Select Wealth Advisor
San Juan, Puerto Rico financial advisor Javier Reyes (CRD# 3014365) recently received an investor complaint alleging that his advice led to eight-figure damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that he is currently registered as an investment advisor with Arkadios Wealth Advisors, doing business as Select Wealth.
Mark Katz: Western International Advisor Lands $358K Complaint
Pasadena, California financial advisor Mark Katz (CRD# 3055019) recently received an investor complaint alleging that he effected unauthorized transactions. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Western International Securities.
