A recent, denied investor complaint against Ridgewood, New York financial advisor Bibi Razack (CRD# 3094072) alleged that she recommended unsuitable...
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Suitability Complaint Against Denver Advisor William Duffy
Lone Tree, Colorado financial advisor William Duffy (CRD# 6726333) is the recipient of multiple investor complaints alleging he provided unsuitable advice. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor registered with Innovation Partners, Sharenett Securities, and Direct Source Wealth Advisory, and that he does business as WD… Read More »
Investor Files Complaint Against Kestra Advisor Ben Belanger
A recent investor complaint against Kestra Investment Services financial advisor Ben Belanger (CRD# 5293459) alleges that his recommendations led to six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Austin, Texas.
Newport Wealth Advisor Surya Metzler Denies Investor Complaint
Newport Beach, California financial advisor Surya Metzler (CRD# 4558292) allegedly recommended an unsuitably risky investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker with Centaurus Financial and an investment advisor with Newport Wealth Advisors.
Investor Files Complaint Against Western International’s Helen Lin
Rolling Hills Estates, California financial advisor Helen Lin (CRD# 4556198) recently received an investor complaint alleging her conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with Western International Securities, having previously been registered with Financial West Group.
GWG Complaint Against Arque Capital’s Christy Earhart
Scottsdale, Arizona financial advisor Christy Earhart (CRD# 3236699) recently received an investor complaint alleging misconduct relating to an investment in GWG Holdings. Financial Industry Regulatory Authority records show that she is a broker registered with Arque Capital and the owner of Dave Smith Financial.
Richard Blosser: FINRA Bars Pathfinder Advisor
Former Wedbush Securities financial advisor Richard Blosser (CRD# 1676712) was recently sanctioned by the Financial Industry Regulatory Authority and barred from acting as a broker. FINRA and Securities and Exchange Commission records show that the Los Angeles-based representative is still registered as an investment advisor with Axxcess Wealth Management and Pathfinder Wealth Advisors.
Brooklyn Advisor Richard Rose: Real Estate Complaint
A pending investor complaint against Arive Capital Markets financial advisor Richard Rose (CRD# 4225756) alleges damages of more than $300,000. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Brooklyn, New York.
Centaurus Advisor Tim Tremblay Denies Investor Complaints
Santa Barbara financial advisor Tim Tremblay (CRD# 1201542) recently received an investor complaint alleging he recommended an unsuitable and high-risk investment. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Centaurus Financial, doing business as Tremblay Financial Services.
Nogales Advisor Ernesto Chavez Receives Bond Complaint
Emerson Equities financial advisor Ernesto Chavez (CRD# 4315877) recently received an investor complaint alleging his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Nogales, Arizona, having previously been registered with Western International Securities.
New Complaint Against Columbus Financial’s Cap Clegg
Dublin, Ohio financial advisor Cap Clegg (CRD# 725190) recently received an investor complaint alleging six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Commonwealth Financial Network, operating as a representative of Columbus Financial Concepts.
