Corvallis, Oregon financial advisor Eric King (CRD# 4852517) was fired by two former member firms in connection with alleged rule...
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Massapequa Advisor James McArthur Named in SEC Complaint: Par Funding
The Securities and Exchange Commission has brought a complaint against Massapequa Financial Advisor James McArthur (CRD# 2797856). According to Financial Industry Regulatory Authority and SEC records, the complaint alleges that the A.G. Morgan Financial Advisors representative solicited investors to invest more than $2 million in notes issued by Par Funding, an allegedly unregistered securities… Read More »
Matt Gates: $500K Complaint Against Fired Joseph Gunnar Advisor
New York City financial advisor Matt Gates (CRD# 4727945) has received investor complaints alleging his recommendations resulted in six-figure damages. Financial Industry Regulatory Authority records show that the VCS Venture Securities broker was fired from one of his former employers, Joseph Gunnar & Company, in relation to alleged company policy violations.
David Geake: $965K GWG L Bond Complaint Against Chicago Advisor
Chicago financial advisor David Geake (CRD# 3088891) has received an investor complaint six-figure damages relating to the sale of GWG L bonds. Financial Industry Regulatory Authority records show that Mr. Geake is a broker and investment advisor American Trust Investment Services, and that earlier investment complaints against him have reached six-figure settlements.
Frank Mastrosimone: $100K Complaint Against Basking Ridge Advisor
Pruco Securities financial advisor Frank Mastrosimone (CRD# 322615) has received an investor complaint alleging six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and investment advisor based in Basking Ridge, New Jersey, and that he was formerly a representative of Royal Alliance Associates in West Orange, New Jersey.
Purpetual Wealth Advisor Jim Jones: $400K Investor Complaint
Jasper, Indiana financial advisor Jim Jones (CRD# 5064653) allegedly recommended unsuitable investments, according to pending investor complaints against him. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Center Street Securities and Capital Advisory Network, respectively, doing business as Purpetual Wealth Management.
Vail Advisor MaRico Tippett: Alternative Investment Complaint
Community Wealth Builders investment advisor MaRico Tippett (CRD# 4821428) allegedly recommended an unsuitable alternative investment, according to a recent investor complaint against him. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the Vail, Arizona representative was formerly a broker with FSC Securities Corporation and is no longer registered as a… Read More »
Jason Cook: $300K REIT Complaint Against Stokes Cook Advisor
Graham, North Carolina financial advisor Jason Cook (CRD# 4349388) has received an investor complaint alleging six-figure damages. Financial Industry Regulatory Authority records show that he is a representative of Berthel Fisher & Company Financial Services, doing business as Stokes Cook Wealth Management.
Ron Baker: FINRA Bars Lubbock Advisor Over Discretion Probe
Lubbock, Texas financial advisor Ron Baker (CRD# 10600) has been barred from acting as a broker following allegations he failed to cooperate with a regulatory investigation into his conduct. Financial Industry Regulatory Authority records show that he was most recently a representative of Richfield Orion International.
Jorge Sonville: $4 Million Complaint Against Sanctioned Miami Advisor
Insigneo Securities financial advisor Jorge Sonville (CRD# 2558540) has been sanctioned over allegations he improperly loaned money to a customer. Financial Industry Regulatory Authority records show that the Miami-based broker and investment advisor has also received an investor complaint alleging seven-figure damages.
Ann Box: Did Barred Cambridge Advisor Misappropriate Funds?
Dallas financial advisor Ann Box (CRD# 1662151) has been barred by the Financial Industry Regulatory Authority, which found she refused to cooperate with an investigation into her conduct. FINRA records show that she was most recently a broker and investment advisor with Cambridge Investment Research, having previously been registered with Royal Alliance Associates and… Read More »
