A recent investor complaint against Roseville, California financial advisor Matt Nadeau (CRD# 4637541) reached a six-figure settlement. Financial Industry Regulatory...
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Samuel Ingram: Oil & Gas Complaint Against Ex-JW Cole Advisor
A recent investor complaint against former Tempe, Arizona financial advisor Samuel Ingram (CRD# 2622115) alleges six-figure damages connected to an oil and gas investment. Financial Industry Regulatory Authority records show that Mr. Ingram is not currently registered as a broker or an investment advisor, though he was most recently registered with JW Cole Financial…. Read More »
CBCLife’s Joyce Liang Receives GWG L Bond Complaint
Daly City, California financial advisor Joyce Liang (CRD# 6860076) is involved in an investor complaint involving an investment in GWG L bonds. Records provided by the Financial Industry Regulatory Authority show that she is a broker with NI Advisors and a representative of CBCLife Financial Services.
Richard “RK” Robertson: SEC Sanctions Former IFP Advisor
The Securities and Exchange Commission recently barred former San Diego advisor Richard “RK” Robertson (CRD# 2233786) in connection with allegations he engaged in a fraudulent “cherry-picking” scheme. Financial Industry Regulatory Authority records show that he is not currently registered as a broker or as an investment advisor, though he was previously registered with Independent… Read More »
Matthew Franchina: $100K Negligence Complaint Against Moloney Advisor
Matthew Franchina (CRD# 5987117), a financial advisor in Manchester, Missouri, recently received an investor complaint alleging he was negligent in his duties. Records provided by the Financial Industry Regulatory Authority show that he is a broker with Moloney Securities and an investment advisor with Moloney Securities Asset Management
Christina Silvius: Was Financial Solutions Advisor Negligent?
Investor complaints against Kansas City, Missouri financial advisor Christina Silvius (CRD# 4559574) allege that she acted negligently and recommended unsuitable investments. Records maintained by the Financial Industry Regulatory Authority indicate that Ms. Silvius is a broker and an investment advisor with Moloney Securities, doing business as Advanced Financial Solutions.
Kelvin Wong: Did Ex-Cetera Advisor Over-Concentrate Client Account?
Former Jersey City financial advisor Kelvin Wong (CRD# 6100689) is involved in an investor complaint alleging that unsuitable investment recommendations led to six-figure losses. Records provided by the Financial Industry Regulatory Authority show that Mr. Wong is not currently registered as a broker or as an investment adviser, though he was most recently affiliated… Read More »
David Giegerich: $100K Complaint Against Ex-Paradigm Wealth Advisor
Former Bridgewater, New Jersey financial advisor David Giegerich (CRD# 2795115) is involved in an investor complaint alleging he provided unsuitable advice and engaged in other forms of misconduct. Financial Industry Regulatory Authority records show that he is not currently registered as a broker, though he was previously registered with LPL Financial, doing business as… Read More »
Jennifer Medlin: Fifth Third Denies Structured Note Complaint
Jennifer Medlin (CRD# 6542270), a financial advisor based in Fort Wayne, was recently involved in an investor complaint alleging she provided incomplete information about an investment. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with Fifth Third Securities.
FSC Securities Advisor Craig Accardo Receives $100K-$500K Complaint
An investor complaint against Metairie, Louisiana financial advisor Craig Accardo (CRD# 3000762) recently settled for $3.5 million. Financial Industry Regulatory Authority records show that the FSC Securities Corporation broker and investment advisor is involved in another investor complaint alleging his conduct resulted in six-figure damages.
Peter Radvanyi: $180K Complaint Against Ex-Newbridge Advisor
Reston, Virginia financial advisor Peter Radvanyi (CRD# 3129076) is involved in an investor complaint alleging multiple forms of misconduct, including unsuitable investment recommendations and violations of federal securities law. Records provided by the Financial Industry Regulatory Authority and the Securities and Exchange Commission indicate that the former Newbridge Securities Corporation broker is currently an… Read More »
