Elma, New York financial advisor Craigg McRae (CRD# 4697209) was recently sanctioned and suspended in connection with alleged rule violations....
Read MoreRecent Blog Posts
David Hirsch: Options Overlay Complaints Against UBS Advisor
Multiple investor complaints against Chicago financial advisor David Hirsch (CRD# 1341777) allege that he misrepresented and unsuitably recommended an options overlay strategy. Records maintained by the Financial Industry Regulatory Authority indicate that he is currently a broker and an investment advisor with UBS Financial Services.
MML’s Michael Yoon Has $500K Unauthorized Trading Complaint
Los Angeles financial advisor Michael Yoon (CRD# 6348923) allegedly made unsuitable investment recommendations and unauthorized trades, according to a new investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with MML Investors Services.
Daniel Joyce: GWG L Bond Complaint Against WestPark Advisor
New York City financial advisor Daniel Joyce (CRD# 1112928) allegedly provided misleading information regarding investments in GWG L bonds, according to a recent investor complaint. Records maintained by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with WestPark Capital.
Stifel Nicolaus Advisor Kenneth Ramos Lands $389K Investor Complaint
A recent investor complaint against New York City financial advisor Kenneth Ramos (CRD# 2553426) alleges, among other things, that he engaged in unauthorized trading. Financial Industry Regulatory Authority records indicate that he is a broker and an investment advisor with Stifel Nicolaus & Company, having previously been registered with Morgan Stanley.
RBC Advisor Martin Klein: Complaints Allege $34 Million Losses
Pending investor complaints against Newport Beach financial advisor Martin Klein (CRD# 1778613) allege that his investment advice resulted in damages of more than $30 million. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with RBC Capital Markets.
Kingswood Advisor Brady Fuchs Receives Oil & Gas Complaint
San Diego financial advisor Brady Fuchs (CRD# 3203016) has received an investor complaint alleging that his conduct resulted in five-figure damages. Records maintained by the Financial Industry Regulatory Authority indicate that he is a broker with Kingswood Capital Partners and an investment advisor with Kingswood Wealth Advisors.
Bill Sines: New Complaint Against Senior Financial Services Advisor
Multiple investor complaints against Seminole, Florida financial advisor Bill Sines (CRD# 2190586) allege that he recommended unsuitable investments. Financial Industry Regulatory Authority records indicate that he is a broker and an investment advisor with Berthel Fisher & Company Financial Services, doing business as Senior Financial Services.
Jason Rossi: $203K Complaint Against Aegis Capital Broker
Melville, New York financial advisor Jason Rossi (CRD# 4384426) allegedly churned investments and made unauthorized trades, according to a recent investor complaint. Financial Industry Regulatory Authority records indicate that the Aegis Capital broker has also been in involved in an investor complaint that reached a settlement.
FINRA Sanctions Ahmed Gheith, Ex-Noble Capital Markets Advisor
Securities regulators recently sanctioned Staten Island financial advisor Ahmed Gheith (CRD# 5783951) in connection with allegations he improperly solicited private placement investments. Financial Industry Regulatory Authority records show that he is a broker with Ceros Financial Services and was formerly registered with Noble Capital Markets.
Ex-Oppenheimer Advisor Iris Israel: $36 Million Horizon Fund Award
More than two dozen complaints against former Atlanta broker Iris Israel (CRD# 1547363) allege that she participated in a Ponzi scheme, with one such complaint resulting in a $36 million arbitration award. Financial Industry Regulatory Authority records show that she was formerly a representative of Oppenheimer & Company and is currently a representative of… Read More »
