Ventura, California financial advisor Stephen Wagner (CRD# 2193508) was recently terminated from a former member firm in connection with alleged...
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Tom Hulick: $500K Complaint Against Strategy Asset Advisor
A recent investor complaint against Pasadena, California financial advisor Tom Hulick (CRD# 1806305) alleges that his advice resulted in half a million dollars in damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Newbridge Securities broker is registered as an investment advisor with Strategy Asset Managers, doing business… Read More »
Shelby Rothman: Suitability Complaint Against EnJoy Financial Advisor
Glendale, California financial advisor Shelby Rothman (CRD# 4166632) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Cambridge Investment Research, doing business as EnJoy Financial.
Angelica Prescod: $300K Complaint Against Edward Jones Advisor
Scottsdale, Arizona financial advisor Angelica Prescod (CRD# 5381488) recently received an investor complaint alleging that her conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Edward Jones.
Tanya Tang: Merrill Lynch Advisor Faces Investor Complaint
San Marino, California financial advisor Tanya Tang (CRD# 7176633) allegedly failed to follow instructions, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Merrill Lynch, having previously been registered with HSBC Securities.
Howard Roth: $125K Energy 11 Complaint Against David Lerner Advisor
A recent investor complaint against White Plains, New York financial advisor Howard Roth (CRD# 867754) alleges that his energy investment recommendation resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with David Lerner Associates.
Jeffrey Schuur: FINRA Suspends Oakwood Capital Advisor
St. Louis Park, Minnesota financial advisor Jeffrey Schuur (CRD# 2391965) was recently sanctioned and suspended in connection with allegedly unsuitable variable annuity recommendations. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Oakwood Capital.
Rogers Haydon: Why Did Arkadios Advisor Resign from Raymond James?
Atlanta, Georgia financial advisor Rogers Haydon (CRD# 4452565) recently resigned from his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Raymond James broker is currently registered as an investment advisor with Arkadios Wealth advisors.
Greg Cunningham: $150K Complaint Against Raymond James Advisor
Park City, Utah financial advisor Greg Cunningham (CRD# 2477804) 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 and an investment advisor with Raymond James Financial Services, doing business as Cunningham Wealth Group.
Luke Lannister: FINRA Suspends Ex-Grove Point Advisor
Former Rockville, Maryland financial advisor Luke Lannister (CRD# 6317373) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Grove Point Investments, having previously been registered with CUSO Financial Services.
John Girgis: FINRA Bars Garden State, Ex-Worden Advisor
Red Bank, New Jersey financial advisor John Girgis (CRD# 5021526) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Garden State Securities and Garden State Investment Advisory Services, respectively, having previously been registered with… Read More »
