Corvallis, Oregon financial advisor Eric King (CRD# 4852517) was fired by two former member firms in connection with alleged rule...
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Thomas Baumann: FINRA Recommends Sanction Against Ex-Spartan Advisor
The Financial Industry Regulatory Authority recently recommended disciplinary action against Thomas Baumann (CRD# 5254392) a financial advisor previously with Spartan Capital Securities. FINRA records show that he was last based in New York City and has received several investor complaints alleging unsuitability, churning, and other forms of misconduct.
Center Street’s Joe LaTour: GWG Complaint Alleges $100K-$500K Damages
Springfield, Missouri financial advisor Joe LaTour (CRD# 4436861) allegedly recommended unsuitable investments, according to a pending investor complaint. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with LaTour Asset Management, offering securities through Center Street Securities.
Joseph Langlois: $870K Complaint Against DFPG Investments Advisor
San Jose financial advisor Joseph Langlois (CRD# 4216281) has received an investor complaint alleging his recommendations led to six-figure damages. Financial Industry Regulatory Authorities show that he is currently a broker and investment advisor with DFPG Investments.
Joseph Chu: $1.1mm Energy Complaint Against RBC Advisor
Stamford financial advisor Joseph Chu (CRD# 4546805) has recently received several investor complaints concerning allegedly unsuitable energy securities. Financial Industry Regulatory Authority records show that Mr. Chu is a broker and investment advisor with RBC Capital Markets, having formerly been registered with Merrill Lynch.
Dan Winn: 6-Figure Churning Complaint Against San Francisco Advisor
Newbridge Securities Corporation advisor Dan Winn (CRD# 4200300) allegedly breached his fiduciary and churned investments, according to a pending investor complaint. Financial Industry Regulatory Authority records show that the broker and investment advisor is based in San Francisco, California.
Chadwick Collins: $2 Million Complaint Against Stone Beacon Advisor
Pending investor complaints against Carlsbad, California financial advisor Chadwick Collins (CRD# 2597677) allege seven-figure damages. Financial Industry Regulatory Authority records show that Mr. Collins is a broker and advisor with Wedbush Securities, doing business as Stone Beacon Capital.
Vince Mastrovito: REIT Complaint Against Ex-Luminous Wealth Advisor
Pending investor complaints against former Novi, Michigan financial advisor Vince Mastrovito (CRD# 4068656) allege that he recommended unsuitable and over-concentrated investments. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that he was formerly a representative of Luminous Wealth Management, offering securities through J.W. Cole Financial.
Jody Young: $1 Million Complaint Against Atlanta Financial Advisor
ACG Wealth financial advisor Jody Young (CRD# 4068656) has received an investor complaint alleging seven-figure damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Arkadios Capital representative, currently based in Atlanta, is not registered as a broker.
Merrill Lynch Fired Joseph Szal over Allegedly Unauthorized Trades
Ex-Merrill Lynch stockbroker Joseph Szal (CRD# 2216245) allegedly executed unauthorized trades, according to digital records maintained by the Financial Industry Regulatory Authority. Formerly a representative of Merrill Lynch in Newport Beach, California, he is not presently registered as a stockbroker, though he is affiliated with Tempus Wealth Planning as an investment advisor in Irvine,… Read More »
Lowry Bayley: $500K Investor Complaint Against Indianapolis Advisor
Sanctuary Securities representative Lowry Bayley (CRD# 15409) has received an investor complaint alleging half a million dollars in damages. Financial Industry Regulatory Authority records show that he is a broker and financial advisor based in Indianapolis, Indiana, where he used to be registered with David A. Noyes & Company.
