A recent, denied investor complaint against Ridgewood, New York financial advisor Bibi Razack (CRD# 3094072) alleged that she recommended unsuitable...
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Keith Offel: Stonehaven Financial Advisor Lands $70K Complaint
Placentia, California and Navarre, Florida financial advisor Keith Offel (CRD# 2570946) allegedly recommended an unsuitable investment, according to a recent investor complaint that was denied. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Cambridge Investment Research, doing business as Stonehaven Financial Group.
Tom Avant: Wells Fargo Advisor Faces Suitability Complaint
El Reno, Oklahoma financial advisor Tom Avant (CRD# 1359654) allegedly recommended an unsuitable investment strategy, 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.
Rock Maselli: VCS Advisor Denies $500K Fraud Complaint
Garden City, New York financial advisor Rock Maselli (CRD# 2791357) recently received an investor complaint alleging that his conduct resulted in $500,000 in damages. Financial Industry Regulatory Authority records show that he is a broker with VCS Venture Securities, having previously been registered with Joseph Stone Capital in Mineola, New York.
Chelsea Deng: Merrill Lynch Advisor Faces Private Placement Complaint
Beverly Hills financial advisor Chelsea Deng (CRD# 4179306) allegedly made unsuitable investment recommendations, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with Morgan Stanley, having previously been registered with Merrill Lynch.
Walter Schoczolek: $500K Complaint Against Avantax Advisor
Charlotte, North Carolina financial advisor Walter Schoczolek (CRD# 4488009) recently received an investor complaint alleging his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker with Sigma Financial Corporation, having previously been registered with Avantax Investment Services.
Michael D’Andrea: Sovereign Global Advisor Receives $100K Complaint
Melville, New York financial advisor Michael D’Andrea (CRD# 5919930) recently received an investor complaint alleging that he churned investments and committed fraud. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Sovereign Global Advisors.
Andrew Lofton: Cetera Advisor Faces $300K Complaint
A recent investor complaint against Franklin, Tennessee financial advisor Andrew Lofton (CRD# 6723209) alleges that his advice resulted in six-figure losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor registered with Cetera Investment Services.
Louis Goff: SEC Fraud Charges Against Wells Fargo Advisor
Salt Lake City financial advisor Louis Goff (CRD# 4882759) allegedly participated in a fraudulent securities offering, according to a recent Securities and Exchange Commission complaint. Financial Industry Regulatory Authority records show that he is currently a broker registered with Wells Fargo Clearing Services.
Matt Hawkins: SEC Issues Complaint Against Cola Wealth Advisor
Lexington, South Carolina financial advisor Matthew Hawkins (CRD# 5731136) allegedly engaged in potential violations of securities industry rules, according to a pending complaint by the Securities and Exchange Commission. Financial Industry Regulatory Authority records show that he is a broker with Centaurus Financial, doing business as Cola Wealth Advisor.
David Ross: Why Did Edward Jones Fire Portland Advisor?
Portland financial advisor David Ross (CRD# 6284235) was recently fired by a former broker-dealer firm 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 Price Financial Group Wealth Management.
