Former Woodbury and Melville, New York financial advisor Keith D’Agostino (CRD# 2837860) was recently sanctioned and suspended in connection with...
Read MoreRecent Blog Posts
Bill Morris: $100K GWG Complaint Against Cape Securities Advisor
A recent investor complaint against Bradenton, Florida financial advisor Bill Morris (CRD# 1793507) alleged that he caused damages by recommending investments in GWG L bonds. Financial Industry Regulatory Authority records show that he is registered as a broker with Cape Securities and an investment advisor with Cape Investment Services, and that he is a… Read More »
Tony daRoza: Merrill Advisor Faces Investor Complaint
San Francisco financial advisor Tony daRoza (CRD# 2087563) allegedly breached his fiduciary duty, according to an investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch.
Glen Mintz: NewEdge Advisor Received $869K Complaint
A recent, closed investor complaint against Park City, Utah financial advisor Glen Mintz (CRD# 2189984) alleged that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with NewEdge Securities and an investment advisor with New Edge Wealth.
Robert Woods: Wedbush Advisor Lands $1mm Complaint
Los Angeles financial advisor Robert Woods (CRD# 820999) allegedly recommended unsuitable investments and violated industry rules, according to an investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Wedbush Securities. Mr. Woods’ BrokerCheck report discloses one investor complaint. Filed in June 2025, it… Read More »
Jerice Walker: $1mm Complaint Against Wells Fargo Advisor
Irvine, California financial advisor Jerice Walker (CRD# 5040177) 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 Wells Fargo Clearing Services and Wells Fargo Advisors, respectively. Mr. Walker’s BrokerCheck report discloses one… Read More »
Mike Ginestro: $2.4mm Complaint Against Merrill Advisor
A recent investor complaint against Los Angeles financial advisor Mike Ginestro (CRD# 2468911) alleges that his conduct resulted in more than $2 million in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch.
Ali Chehab: FINRA Files Complaint Against Ex-Merrill Advisor
Former Portland, Oregon financial advisor Ali Chehab (CRD# 7625979) was recently named respondent in a regulatory complaint alleging that he engaged in sales practice violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Merrill Lynch.
Andrew Mack: FINRA Suspends Former AGP Advisor
Former Greenwich, Connecticut financial advisor Andrew Mack (CRD# 5932062) 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 Raymond James Financial Services, before which he was registered with Alliance Global Partners. He did business as Tempus… Read More »
Jeff Meyers: $100K Complaint Against Meyers Wealth Advisor
A recent investor complaint against Overland Park, Kansas financial advisor Jeff Meyers (CRD# 2192759) alleges that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Osaic Wealth, doing business as Meyers Wealth Management.
Steve Mattocks: Osaic Advisor Lands $118K REIT Complaint
Wichita, Kansas financial advisor Steve Mattocks (CRD# 2193216) allegedly sold unsuitable real estate investment trust products, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Osaic Wealth. He is also the owner of Wheatland Insurance Group.
