Former New York City financial advisor Sung Moo Cho (CRD# 5015906) was recently sanctioned and barred in connection with misappropriation...
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Dave Taddeo: $124K Complaint Against Summit Wealth Advisor
La Mesa, California financial Dave Taddeo (CRD# 1163829) recently received an investor complaint alleging that his investment advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with LPL Financial, doing business as Summit Wealth Solutions.
Keith Curtis: Aegis Advisor Barred by FINRA
Former Tampa, Florida financial advisor Keith Curtis (CRD# 4798755) was recently sanctioned by FINRA and barred in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker and an investment advisor with Aegis Capital.
Tom Paine: Suitability Complaint Against Paine Financial Advisor
Arroyo Grande, California financial advisor Tom Paine (CRD# 2285372) recently received an investor complaint alleging he recommended unsuitable alternative investments. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Centaurus Financial, doing business as Paine Financial Services.
Jeffrey Goldman: $77K Complaint Against Chapin Davis Advisor
Baltimore, Maryland financial advisor Jeffrey Goldman (CRD# 2493183) recently received an investor complaint alleging that his recommendations resulted in losses. Financial Industry Regulatory Authority records show that he is registered as a broker with Chapin Davis and an investment advisor with Chapin Davis Asset Management.
Bill Collins: $225K Complaint Against Horizon Advisor
Farmington Hills, Michigan financial advisor Bill Collins (CRD# 2787822) has received multiple investor complaints alleging he made unauthorized and excessive trades. Financial Industry Regulatory Authority records show that the former Morgan Stanley representative is currently registered with Cetera Advisor Networks. He is also a representative of Horizon Adviser.
David K. Griffith: $150K Complaint Against DK Griffith Advisor
Utica, New York financial advisor David K. Griffith (CRD# 3072664) allegedly breached his fiduciary duty and engaged in unjust enrichment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with LifeMark Securities, doing business as DK Griffith & Company.
Sara Qazi: FINRA Suspends Raymond James Advisor
Beverly Hills financial advisor Sara Qazi (CRD# 4118177) was recently sanctioned and suspended in connection with allegations she improperly participated in a private securities transaction. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Raymond James & Associates, having previously been registered with Morgan Stanley.
Peter Maniscalco: $300K Complaint Against Avantax Advisor
Staten Island financial advisor Peter Maniscalco (CRD# 4435025) allegedly recommended an unsuitable investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Avantax Investment Services and Avantax Advisory Services, respectively. He is also the President of Maniscalco & Picone… Read More »
Doug Nelson: GWG L Bond Complaint Against LPL Advisor
A recent investor complaint against Pahrump, Nevada financial advisor Doug Nelson (CRD# 4609776) alleges that he recommended an unsuitable GWG L Bond investment. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with LPL Financial, having previously been registered with Kingswood Capital Partners.
Jeff Carlton: UBS Fires Melville Advisor over ETF Allegations
Melville, New York financial advisor Jeff Carlton (CRD# 1132967) was recently fired by UBS Financial Services in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Aegis Capital Corporation.
