Former New York City financial advisor Sung Moo Cho (CRD# 5015906) was recently sanctioned and barred in connection with misappropriation...
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Shaun Stein: $722K Complaint Against Ex-National Securities Advisor
Jersey City financial advisor Shaun Stein (CRD# 4873578) recently received an investor complaint alleging that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker with B. Riley Wealth Management, having previously been registered with National Securities Corporation.
Joey Hobbs: $235K Complaint Against Cetera, Ex-LPL Advisor
Dallas financial advisor Joey Hobbs (CRD# 5092184) recently received an investor complaint alleging his conduct resulted in six-figure losses. Financial Industry Regulatory Authority records show that he is a broker with Cetera Investment Services and an advisor with Cetera Investment Advisors, as well as the owner of Financial Vision Consulting.
Kerrie Coe: Regions Bank Advisor Received Structured Product Complaint
A recent, denied investor complaint against Indianapolis financial advisor Kerrie Coe (CRD# 4951159) alleged that she provided poor advice. Financial Industry Regulatory Authority records show that she is a broker with Cetera Investment Services and an investment advisor with Cetera Investment Advisors, operating as a representative of Regions Bank.
Nick Hamilton: Hamilton Group Advisor Faces $255K Complaint
A recent investor complaint against Greenwood Village, Colorado financial advisor Nick Hamilton (CRD# 4900895) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker with Purshe Kaplan Sterling and an investment advisor with Concurrent Investment Advisors, doing business as The Hamilton Group.
John Corello: Janney Advisor Receives Closed-End Fund Complaint
Allentown, Pennsylvania financial advisor John Corello (CRD# 1407750) recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Janney Montgomery Scott, whose website shows that he is a member of KLC Wealth Advisory.
Ibrahim Kurtulus: Joseph Stone Advisor Lands $875K Complaint
A recent investor complaint against New York City financial advisor Ibrahim Kurtulus (CRD# 2287372) alleges that he made unsuitable trades and improperly used margin. Financial Industry Regulatory Authority records show that he is a broker with Joseph Stone Capital, having previously registered with Windsor Street Capital.
B. Riley Advisors Charlie Hartley, Roger Follis Face $2.6mm Complaint
Washington, DC financial advisors Charlie Hartley (CRD# 2658276) and Roger Follis (CRD# 2653439) recently received an investor complaint alleging that their conduct led to more than $2 million in damages. Financial Industry Regulatory Authority records show that they are representatives of B. Riley Wealth Management, operating under the name Follis Hartley Group.
Richard Calabrese: $9.9mm Complaint Against Corinthian Advisor
New York City financial advisor Richard Calabrese (CRD# 1549013) recently received an investor complaint alleging that his conduct resulted in damages of more than $9 million. Financial Industry Regulatory Authority records show that he is a broker with Corinthian Partners.
Carlos Vega: Mutual of Omaha Advisor “Permitted to Resign”
San Juan, Puerto Rico financial advisor Carlos Vega (CRD# 7022705) recently resigned from Mutual of Omaha Investor Services in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that he is currently registered as an investment advisor with Consultiva Wealth Management Corporation.
Randy Cox: $100K Complaint Against Cox Financial, Ex-FSC Advisor
A recent investor complaint against Hudson Oaks, Texas financial advisor Randy Cox (CRD# 2544998) alleges that he recommended an unsuitable alternative investment. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Osaic Wealth, doing business as Cox Financial Group.
