Former New York City financial advisor Sung Moo Cho (CRD# 5015906) was recently sanctioned and barred in connection with misappropriation...
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David Wong: Did Integrity Brokerage Advisor Convert Customer Funds?
Los Angeles financial advisor David Wong (CRD# 4689031) allegedly converted funds from customer accounts, according to a recent investigation into his conduct. Financial Industry Regulatory Authority records show that he is currently registered as a broker with Integrity Brokerage and an investment advisor with Integrity Advisors.
Mike Culwell: $444K Complaint Against Irvine Advisor
A recent investor complaint against Irvine, California financial advisor Mike Culwell (CRD# 5989109) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker registered with Emerson Equity and a representative of Irvine Advisors.
Jayson Pocius: FINRA Bars Ex-Wells Fargo Advisor
Chicago financial advisor Jayson Pocius (CRD# 6018543) was recently sanctioned in connection with allegations that he used client funds for his personal benefit. Financial Industry Regulatory Authority records show that the former Wells Fargo broker and investment advisor is currently registered with Great Point Capital.
Marion Adams: FINRA Bars Ex-Raymond James Advisor
Former Mobile, Alabama financial advisor Marion Adams (CRD# 1392435) has been sanctioned in connection with alleged misappropriation of client assets. Financial Industry Regulatory Authority records show that the former Raymond James broker was most recently registered with The Jeffrey Matthews Financial Group.
Travis Riggs: $64K Complaint Against Ex-Equitable Advisors Broker
Bentonville, Arkansas financial advisor Travis Riggs (CRD# 4334801) has received multiple investor complaints concerning allegedly high fees. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Equitable Advisors broker is currently registered as an investment advisor with Private Advisor Group.
Diana Palmieri: $99K Complaint Against Vanderbilt Advisor
Woodbury, New York financial advisor Diana Palmieri (CRD# 2889428) recently received an investor complaint alleging that she recommended unsuitable non-traded REITs and BDCs. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with Vanderbilt Securities and Vanderbilt Advisory Services, respectively.
Curtis Mason: GWN Securities Denies $77K Complaint Against Advisor
Palm Beach Gardens, Florida financial advisor Curtis Mason (CRD# 3246419) recommended an unsuitable investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with GWN Securities, doing business as Mason Financial.
Damon Mapes: Ex-Cetera Advisor Faces $250K Complaint
A recent investor complaint against Hillsboro, Oregon advisor Damon Mapes (CRD# 4011748) alleges that his 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 LPL Financial, doing business as Banner Investment Services.
Joshua Cook: FINRA Suspends Ex-LPL Financial Advisor
Vernal, Utah financial advisor Joshua Cook (CRD# 4277525) allegedly forged customer signatures, according to a disciplinary action suspending him from acting as a broker. Financial Industry Regulatory Authority records show that the former LPL Financial broker is currently registered as an investment advisor with Cook Financial.
Reuben Brown: FINRA Bars Ex-Edward Jones Advisor
Former Southlake, Texas financial advisor Reuben Brown (CRD# 7089559) was recently sanctioned in connection with allegations that he sold investments away from his member firm. Financial Industry Regulatory Authority records show that the former Edward Jones representative has been barred from registering with any FINRA member firm.
