Former New York City financial advisor Sung Moo Cho (CRD# 5015906) was recently sanctioned and barred in connection with misappropriation...
Read MoreRecent Blog Posts
Pamela Calhoun: Ex-Cetera Advisor Faces Structured Product Complaint
Fruitland Park, Florida financial advisor Pamela Calhoun (CRD# 4216320) recently received an investor complaint alleging that she recommended an unsuitable investment. Financial Industry Regulatory Authority records show that she is registered as a broker with Fidelity Brokerage Services and an investment advisor with Fidelity Personal and Workplace Advisors.
Hector Villaescuela: $20 Million Complaint Against Bulltick Advisor
A recent investor complaint against Miami financial advisor Hector Villaescuela (CRD# 4185707) alleges that his conduct resulted in eight-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Bulltick and an investment advisor with Bulltick Wealth Management.
Tom Cavaliere: $300K Complaint Against Tall Oaks Advisor
Overland Park, Kansas financial advisor Tom Cavaliere (CRD# 4435562) recently received an investor complaint alleging that his conduct resulted in six-figure losses. Financial Industry Regulatory Authority records show that he is registered as a broker with LPL Financial and an investment advisor with IHT Wealth Management, doing business as Tall Oaks Advisors.
Michael Frager: $125K Complaint Against FSA Integrated Advisor
Recent investor complaints against La Jolla, California financial advisor Michael Frager (CRD# 1230622) allege that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is currently registered as a broker with Willow Cove Investment Group and an advisor with Balboa Wealth Partners, doing business as FSA Integrated.
John Pronovost: $100K-$500K Complaint Against Ex-Cambridge Advisor
Watertown, Connecticut financial advisor John Pronovost (CRD# 1990612) has received multiple investor complaints alleging that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Osaic Institutions, having previously been registered with Cambridge Investment Research.
Matt Wilkes: $4.1 Million Complaint Against Greensview Advisor
Recent investor complaints against Franklin, Tennessee financial advisor Matt Wilkes (CRD# 5409004) allege that he recommended unsuitable insurance policies. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former TrustFirst broker is currently registered as an investment advisor with Greensview Wealth Management.
Jeff Davidson: FINRA Suspends Ex-Equitable Advisor
Austin, Texas financial advisor Jeff Davidson (CRD# 4585780) was recently sanctioned and suspended in connection with alleged rule violations. 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 Victory Financial.
Jaime Rios: Regulators Censure, Fine Money Concepts Advisor
Corpus Christi financial advisor Jaime Rios (CRD# 1747126) was recently sanctioned by securities regulators in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is registered as a broker with Money Concepts Capital Corporation.
Franz Koch: Unauthorized Trading Complaint Against Wells Fargo Advisor
Boca Raton financial advisor Franz Koch (CRD# 4467954) allegedly made unauthorized transactions, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Wells Fargo Clearing Services.
Brian Shevland: FINRA Suspends Bluestone Capital Advisor
Wayne, Pennsylvania financial advisor Brian Shevland (CRD# 4570496) was recently sanctioned and suspended in connection with alleged misrepresentations. Financial Industry Regulatory Authority records show that he is registered as a broker with MCG Securities and an investment advisor with Bluestone Capital Management.
