Ventura, California financial advisor Stephen Wagner (CRD# 2193508) was recently terminated from a former member firm in connection with alleged...
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Diana Leon: Osaic Advisor Faced Suitability Complaint
Gaithersburg, Maryland financial advisor Diana Leon (CRD# 4857407) allegedly recommended an unsuitable investment, according to a recent, denied investor complaint. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Osaic Wealth.
Jason Nardella: $677K Complaint Against Ameriprise Advisor
Naples, Florida financial advisor Jason Nardella (CRD# 2931678) recently received an investor complaint alleging that he made unauthorized transactions. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Ameriprise Financial Services.
Steven Cho: $378K Complaint Against Ex-David Lerner Advisor
Red Bank, New Jersey financial advisor Steven Cho (CRD# 2610257) made an unsuitable investment recommendation, according to a recent, denied investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with HJ Sims & Company, having previously been registered with David Lerner Associates.
Scott Weir: Osaic Advisor Received 6-Figure Complaint
Cedarburg, Wisconsin financial advisor Scott Weir (CRD# 2196183) allegedly misrepresented an investment strategy, according to a recent, denied investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Osaic Wealth, doing business as Weir Wealth Management.
Kyle McLaughlin: Ex-Morgan Stanley Advisor Lands Suitability Complaint
Cincinnati, Ohio financial advisor Kyle McLaughlin (CRD# 2614967) allegedly made an unsuitable investment recommendation, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with RBC Capital Markets.
Bob Sweet: $100K Complaint Against Ex-LPL, Raymond James Advisor
El Paso, Texas financial advisor Bob Sweet (CRD# 4090608) allegedly recommended a non-traded REIT product that was not in his customer’s best interest. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Independent Financial Group.
Joseph Tartaglini: $425K Complaint Against JP Morgan Advisor
A recent investor complaint against Reno, Nevada financial advisor Joseph Tartaglini (CRD# 4963465) alleges that his advice resulted in damages of more than $400,000. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with JP Morgan Securities.
Christian Ramsey: $250K Complaint Against QPIA, Ex-Foothill Advisor
Colorado Springs financial advisor Christian Ramsey (CRD# 3038410) recently received an investor complaint alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Foothill Securities broker is currently registered as an investment advisor with QPIA.
Jorge Harker: $310K Complaint Against Holistic Brokerage Advisor
A recent investor complaint against Miami, Florida financial advisor Jorge Harker (CRD# 7015433) alleges that he made unauthorized trades. Financial Industry Regulatory Authority records show that he is registered as a broker with Holistic Brokerage and an investment advisor with Holistic Asset Management.
Thomas Windsor: $1mm Complaint Against Wells Fargo Advisor
Irvine, California financial advisor Thomas Windsor (CRD# 6671276) 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.
