Former Woodbury and Melville, New York financial advisor Keith D’Agostino (CRD# 2837860) was recently sanctioned and suspended in connection with...
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James Walesa: FINRA Files Complaint Against Ex-Arkadios Advisor
Former Park Ridge, Illinois financial advisor James Walesa (CRD# 1061209) was recently named respondent in a complaint alleging that he violated industry rules. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Arkadios Capital, having previously been registered with Triad Advisors.
Brent Ditto: FINRA Suspends LPL/Ditto Financial Advisor
Elizabethtown, Kentucky financial advisor Brent Ditto (CRD# 4779103) was recently sanctioned in connection with allegations he recommended an investment that was not in a customer’s best interest. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, doing business as Ditto Financial Group.
Amber Stoll: $2mm Complaint Against Cetera, Ex-Merrill Advisor
Overland Park, Kansas financial advisor Amber Stoll (CRD# 6937254) recently received an investor complaint alleging that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that she is registered as a broker with Cetera Investment Services and an investment advisor with Cetera Investment Advisers.
Jason Hawke: $200K Complaint Against DH Hill Advisor
Meridian, Idaho financial advisor Jason Hawke (CRD# 4177415) recently received an investor complaint alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with DH Hill Securities and an investment advisor with Hawke Financial Group.
Victor Sibilla: WestPark Advisor Lands $100K Complaint
A recent investor complaint against Boca Raton, Florida financial advisor Victor Sibilla (CRD# 1783361) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with WestPark Capital.
Marilyn Hoosen: eGOLI Advisor Lands Mutual Fund Complaint
Recent investor complaints against Alexandria, Virginia financial advisor Marilyn Hoosen (CRD# 4639441) allege that she made unauthorized and excessive trades. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Stifel Independent Advisors, doing business as eGOLI Wealth Advisors.
Duncan MacEachern: $200K Complaint Against Celtic Wealth Advisor
Rochester, Michigan financial advisor Duncan MacEachern (CRD# 1856591) allegedly 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 LPL Financial, doing business as Celtic Wealth Management Group.
Hoss Esmaeili: $439K Complaint Against Clever Financial Advisor
Raleigh, North Carolina financial advisor Hoss Esmaeili (CRD# 5581440) recently received an investor complaint alleging that he made unauthorized trades. Financial Industry Regulatory Authority records show that he is registered as a broker with Avantax Investment Services and an advisor with Avantax Advisory Services, doing business as Clever Financial Services.
John Marcheso: $650K Complaint Against Centaurus Advisor
Coeur D’Alene, Idaho financial advisor John Marcheso (CRD# 869337) recently received an investor complaint alleging that his conduct resulted in damages of more than $600,000. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Centaurus Financial, doing business as Marcheso and Associates.
Michael Harris: $500K-$1mm Complaint Against Merrill Advisor
Indian Wells, California financial advisor Michael Harris (CRD# 2982772) recently received an investor complaint alleging that he made unsuitable investment recommendations. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch.
