A recently published news release describes an investigation into allegations that broker-dealer firm Forge Securities (CRD# 134596) played a role...
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Michelle Osborne: Negligence Complaint Against Emerson Advisor
East Largo, Florida financial advisor Michelle Osborne (CRD# 2256998) has received multiple investor complaints alleging that her conduct resulted in damages. Financial Industry Regulatory Authority records show that she is registered as a broker with Emerson Equity, having previously been registered with Cape Securities.
Todd Kennedy: Suitability Complaint Against Ex-Herbert Sims Advisor
A recent investor complaint against Golden Valley, Minnesota financial advisor Todd Kennedy (CRD# 1002060) alleges that he made unsuitable investment recommendations. Financial Industry Regulatory Authority records show that he is registered as a broker with The Oak Ridge Financial Services Group, having previously been registered with Herbert J. Sims & Company.
Ryan Masters: $2.5mm Complaint Against Morgan Stanley Advisor
Coral Gables, Florida financial advisor Ryan Masters (CRD# 5743021) recently received an investor complaint alleging that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Morgan Stanley.
John Polemis: FINRA Investigates Fired Stirlingshire Advisor
San Diego, California financial advisor John Polemis (CRD# 4270012) allegedly violated industry rules, according to a regulatory investigation into his conduct. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Stirlingshire Investments broker is currently registered as an investment advisor with Sphinx Investments.
Alex Staverosky: Ridgegate Advisor Faces Suitability Complaint
A recent investor complaint against Englewood, Colorado financial advisor Alex Staverosky (CRD# 7171282) alleges that he violated industry rules. Financial Industry Regulatory Authority records show that he is registered as a broker with Emerson Equity and an investment advisor with Ridgegate Advisors.
Lance Stafford: Suitability Complaint Against Ex-Emerson Advisor
A recent investor complaint against Atlanta, Georgia financial advisor Lance Stafford (CRD# 2900449) alleges that his advice resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Arkadios Capital and an investment advisor with Arkadios Wealth Advisors.
Avinesh Shankar: Forgery Complaint Against Ex-Pruco Advisor
Former Roseville, California financial advisor Avinesh Shankar (CRD# 6232970) allegedly forged customer signatures on annuity applications, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Pruco Securities.
Shane Jacksteit: Suitability Complaint Against Edward Jones Advisor
Sunnyvale, California financial advisor Shane Jacksteit (CRD# 5993702) allegedly recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Edward Jones.
Anthony D’Ascoli: Oppenheimer Advisor Lands $850K Complaint
A recent investor complaint against Delray Beach, Florida financial advisor Anthony D’Ascoli (CRD# 4133420) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Oppenheimer & Company.
Mike Cecere: $49K Complaint Against TSG, Ex-PHX Advisor
Ronkonkoma, New York financial advisor Mike Cecere (CRD# 3250479) has received multiple investor complaints alleging that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker with TSG Capital Advisors, having previously been registered with PHX Financial.
