Torrance, California financial advisor Rod Uy (CRD# 4945992) allegedly made misrepresentations of material facts, according to a recent investor complaint....
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Bob Thompson: Concourse Financial Fired Progressive Financial Advisor
Palos Hills, Illinois financial advisor Bob Thompson (CRD# 1975407) was recently terminated from Concourse Financial Group Securities in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that he is currently an investment advisor at Harvest Investment Services, doing business as Progressive Financial Planning.
JoAnna Westcott: LPL/Bill Westcott Advisor Faces ETF Complaint
Tucson, Arizona financial advisor JoAnna Westcott (CRD# 1187278) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor registered with LPL Financial, doing business as Bill Westcott Inc.
Alex Kline: Duncan Financial Advisor Faces $500K Complaint
Pittsburgh financial advisor Alex Kline (CRD# 1271785) allegedly made unsuitable investment recommendations that resulted in six-figure damages, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Cambridge Investment Research, doing business as Duncan Financial Group.
Pasquale Capone: $600K Complaint Against Wells Fargo Advisor
Recent investor complaints against Woodbury, New York financial advisor Pasquale Capone (CRD# 2487767) allege that he recommended unsuitable investments and made unauthorized transactions. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Wells Fargo Clearing Services.
Brian Culver: Abakon Advisor Lands $500K ETF Complaint
Kalamazoo financial advisor Brian Culver (CRD# 6392736) recently received an investor complaint alleging that his advice resulted in six-figure losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Cambridge Investment Research, doing business as Abakon Financial.
David Shaw: Complaint Against Allied Wealth Advisor Settles for $99K
Manasquan, New Jersey financial advisor David Shaw (CRD# 5337265) recently received an investor complaint that settled for more than $99,000. Financial Industry Regulatory Authority records show that he is registered as a broker with Cetera Investment Networks and an investment advisor with Cetera Investment Advisors, and that he is a representative of Allied Wealth… Read More »
Fernando Roman Corujo: Pending Sanction Against Linda Corujo Advisor
A pending regulatory action against San Juan financial advisor Fernando Roman Corujo (CRD# 5657513) alleges that he sold high-risk investments in unregistered securities without approval as a securities agent. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Lincoln Financial Securities Corporation, as well as a representative… Read More »
Ralph Freedman: $1.125 Million Complaint Against Ameriprise Advisor
A recent investor complaint against Sewickley, Pennsylvania financial advisor Ralph Freedman (CRD# 2474616) alleges that his advice led to more than $1 million in damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor registered with Ameriprise Financial Services.
Raul Benitez: $100K-$500K Complaint Against Ex-Truist Advisor
Fort Lauderdale financial advisor Raul Benitez (CRD# 4457185) has received multiple investor complaints alleging that his investment advice resulted in losses. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Wells Fargo broker is currently an investment advisor with Aragon Capital.
Edward Cohen: GIC Complaint Against Truist Advisor
Bal Harbour, Florida financial advisor Edward Cohen (CRD# 4693017) allegedly recommended an unsuitable investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Truist Investment Services and Truist Advisory Services, respectively.
