A recent investor complaint against Santa Monica, California financial advisor Matt Ward (CRD# 2075525) alleged that his conduct resulted in...
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Doug Lode: Prime Capital Advisor Faces $500K Complaint
Overland Park, Kansas financial advisor Doug Lode (CRD# 4134521) allegedly provided investment advice that led to six-figure damages, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker with Private Client Services and an investment advisor with Prime Capital Investment Advisors.
Dave Hutchison: $800K Complaint Against Cetera Advisor
Phoenix financial advisor Dave Hutchison (CRD# 732974) recently received an investor complaint alleging that his conduct resulted in six-figure losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Cetera Advisors, doing business as Hutchison Investment Advisors.
Ex-Cambridge Brokers Michael Stolberg & Matt Romeo: $500K Complaint
Former Cambridge Investment Research financial advisors Michael Stolberg (CRD# 5678544) and Matt Romeo (CRD# 4201945) recently received an investor complaint alleging that their advice resulted in six-figure losses. Financial Industry Regulatory Authority records show that Mr. Stolberg is currently registered with Private Client Services in Overland Park, Kansas, while Mr. Romeo is registered with… Read More »
Marc Hallick: $6.5mm Complaint Against Raymond James Advisor
A recent investor complaint against The Villages, Florida financial advisor Marc Hallick (CRD# 4652410) alleges that he recommended a margin strategy that resulted in seven-figure losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Raymond James & Associates.
Carlson Law Files Claim For Jack Yvars Clients
Today, Carlson Law filed an arbitration claim with the Financial Industry Regulatory Authority for two clients of Osaic Wealth, Inc. financial advisor, Jack Yvars, seeking over $100,000 in damages. According to the filing, it is alleged that Osaic’s registered representative, Jack Yvars, made highly speculative recommendations in the clients’ accounts that lost approximately 50%… Read More »
Casey Walker: $375K Complaint Against Alta Vista Financial Advisor
Tooele, Utah financial advisor Casey Walker (CRD# 3190125) recently received an investor complaint alleging his investment recommendations led to damages exceeding $300,000. Financial Industry Regulatory Authority records show that he is a broker with Cetera Advisors, doing business as Alta Vista Financial Services.
Frank Young: Raymond James Denies $135K Complaint
Hickory, North Carolina financial advisor Frank Young (CRD# 4417847) recently received an investor complaint alleging that his conduct resulted in six-figure losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Raymond James Financial Services, as well as the owner of Resource Partners.
Sam Schoner: $7.4mm Complaint Against Ex-First Republic Advisor
San Francisco financial advisor Sam Schoner (CRD# 1928356) recently received an investor complaint alleging that his investment advice resulted in damages exceeding $7 million. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with JP Morgan.
Joey Miller: Why Did Arete Wealth Fire New Braunfels Advisor?
New Braunfels, Texas financial advisor Joey Miller (CRD# 6175826) was terminated from his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is now a broker with DAI Securities and an investment advisor with DAI Wealth, as well as the owner of John Galt Wealth Solutions.
Randy Larson: Arete Fired St. Louis Advisor
St. Louis, Missouri financial advisor Randy Larson (CRD# 5862743) was terminated from his former member firm in connection with allegations of misconduct. Financial Industry Regulatory Authority records show that he is now registered as a broker with Great Point Capital and an investment advisor with 25 Financial.
