Corvallis, Oregon financial advisor Eric King (CRD# 4852517) was fired by two former member firms in connection with alleged rule...
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Ron Birnbaum: $200K Complaint Against Former Advisory Group Advisor
Former Newton, Massachusetts financial advisor Ron Birnbaum (CRD# 2382580) has received several investor complaints alleging that his recommendations resulted in losses. Financial Industry Regulatory Authority records show that he was most recently a broker with Advisory Group Equity Services and is no longer registered with any FINRA member firm.
Ivan Cen: Did Cetera Advisor Make Unauthorized Trades?
Millbrae, California financial advisor Ivan Cen (CRD# 5474263) has received investor complaints alleging unauthorized trading and other misconduct. Financial Industry Regulatory Authority records show that he is a broker and investment adviser with Cetera Investment Services and Cetera Investment Advisers. Also known as Shao Chen, he is additionally registered with the firm’s offices in… Read More »
Buddy Clark: $800K Complaint Against Petersen Investments Advisor
Buddy Clark (CRD# 1431762), a financial advisor based in Wall, New Jersey, recently received an investor complaint alleging more than $800,000 in damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Cadaret Grant & Company, doing business as Petersen Advisors.
Vince Annable: $600K Complaint Against Wealth Strategies Advisor
Scottsdale financial advisor Vince Annable (CRD# 1033573) has received an investor complaint alleging the recommendation of unsuitable and illiquid investments. Financial Industry Regulatory Authority records show that he is a broker with Coastal Equities, doing business as Wealth Strategies Advisory Group.
New REIT Complaint Against Leo Chien, San Gabriel Broker
Cetera Investment Services advisor Leo Chien (CRD# 4169619) has received several investor complaints. Financial Industry Regulatory Authority records show that he is a broker and investment adviser based in San Gabriel, El Monte, and Alhambra, California.
Virg Cristobal: Complaint Against Former Lincoln Financial Advisor
San Francisco financial advisor Virg Cristobal (CRD# 4662399) allegedly recommended an unsuitable investment, according to a recent investor complaint. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that he is a representative of Chrome Advisors and was formerly a broker with SagePoint Financial and Lincoln Financial Advisors.
William Platt: GPB Complaint Against NYC Momentum Advisor
William Platt (CRD# 4558339), a financial advisor in New York City, has received an investor complaint concerning an investment in GPB Capital. Financial Industry Regulatory Authority records show that he is a broker and investment adviser with Purshe Kaplan Sterling and Momentum Advisors, respectively.
Jim Parrelly: FINRA Investigates, Bars Parrelly Financial Group Advisor
The Financial Industry Regulatory Authority has barred Dearborn financial advisor Jim Parrelly (CRD# 728368) in connection with allegations he refused to cooperate with an investigation into his conduct. FINRA and Securities and Exchange Commission records show that the Parrelly Financial Group representative was formerly a broker with Investment Planners and is currently an investment… Read More »
SEC Complaint Against AGM Advisor Vincent Camarda: Par Funding
A complaint filed this month by the Securities and Exchange Commission alleges that A.G. Morgan Financial Advisors representative Vincent Camarda (CRD# 2463703) solicited investors to invest in a “$500 million unregistered fraudulent offering” with Par Funding. Financial Industry Regulatory Authority and SEC records show that the Massapequa, New York advisor allegedly failed to disclose… Read More »
Francis Velten: Churning Allegations Against New Port Richey Advisor
A pending FINRA enforcement action against former Ameriprise financial advisor Francis Velten (CRD# 2291911) alleges he failed to respond to an investigation into potential churning in the accounts of elderly customers. Financial Industry Regulatory Authority records show that Mr. Velten was most recently registered in New Port Richey, Florida, and that he has received… Read More »
