A recent, denied investor complaint against Ridgewood, New York financial advisor Bibi Razack (CRD# 3094072) alleged that she recommended unsuitable...
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REIT Complaint Against Former Ameriprise Advisor James Cavalier
Former New Brighton, Minnesota financial advisor James Cavalier (CRD# 1579594) recently received an investor complaint alleging misconduct related to REIT and annuity investments. Financial Industry Regulatory Authority records show that the former Ameriprise Financial Services broker and investment advisor is not currently registered with any FINRA member firm.
Moloney Securities Advisor Peter Ferraro: Bond Complaint
Manchester, Missouri financial advisor Peter Ferraro (CRD# 2386025) allegedly recommended unsuitable investments, according to a pending investor complaint against him. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Moloney Securities and that he has been sanctioned by securities regulators.
Carey James: $66K Complaint Against James Financial Advisor
Arroyo Grande, California financial advisor Carey James (CRD# 1420763) recently received an investor complaint alleging his investment advice resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor registered with Centaurus Financial, doing business as James Financial Group.
Peter Ermogenous: Complaint Against Wells Fargo Advisor Settles
Carle Place financial advisor Peter Ermogenous (CRD# 5257901) has received several investor complaints alleging his investment advice resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Wells Fargo Clearing Services, having previously been registered with Citigroup Global Markets and Capital One Investing.
Michael Desando: FINRA Suspends Red Bank Advisor
The Financial Industry Regulatory Authority (FINRA) recently sanctioned Network 1 Financial Securities advisor Michael Desando (CRD# 1849321). FINRA records show that the Red Bank, New Jersey broker allegedly engaged in excessive and unsuitable trading in a customer’s account and has been suspended for three months.
John Townshend: Regulators Sanctions Tulsa Advisor
Palm Beach Capital Corporation financial advisor John Townshend (CRD# 2784752) was recently sanctioned by state securities regulators in connection with findings of misconduct. Securities and Exchange Commission records show that he is currently registered as an investment advisor in Tulsa, Oklahoma.
Boca Raton Advisor John Egan Receives Multiple Complaints
Newbridge Financial Securities financial advisor John Egan (CRD# 818750) is the recipient of multiple investor complaints alleging his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Boca Raton, California.
Kevin Nevin: $400K Complaint Against Barred Edina Advisor
Former Dempsey Lord Smith financial advisor Kevin Nevin (CRD# 2460059) was recently sanctioned by the Financial Industry Regulatory Authority. FINRA records show that the former Edina, Minnesota-based broker has been barred from association with any FINRA member in all capacities.
Tim Petrou: FINRA Sanctions Ronkonkoma Advisor for 6 Months
The Financial Industry Regulatory Authority (FINRA) recently sanctioned former Arive Capital Markets financial advisor Tim Petrou (CRD# 2672840). FINRA records show that the Ronkonokoma, New York broker allegedly engaged in excessive and unsuitable trading and has been suspended for six months.
New Complaint Against North Texas Advisory Group’s Buddy Jimerson
Dallas financial advisor Buddy Jimerson (CRD# 1374856) recently received an investor complaint alleging his investment advice resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Sunbelt Securities, doing business as North Texas Advisory Group.
