Corvallis, Oregon financial advisor Eric King (CRD# 4852517) was fired by two former member firms in connection with alleged rule...
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Denied REIT Complaint Against Voya Advisor Michael Zahm
Voya Financial Advisors advisor Michael Zahm (CRD# 6381591) allegedly misrepresented an investment, according to an investor complaint that was denied by his member firm. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor in Fishers, Indiana.
Dana Vietor: $2.6 Million Complaint Against Ex-Dallas Advisor
Former CFD Investments representative Dana Vietor (CRD# 873129) has received numerous pending investor complaints alleging millions in damages. Financial Industry Regulatory Authority records show that the former Dallas-based broker has been barred from associating with any broker-dealer firm.
$1mm Complaint Against Asheville Advisor Patrick Chitwood
Chitwood Wealth Management’s Patrick Chitwood allegedly caused $1 million in damages, according to a pending investor complaint. Financial Industry Regulatory Authority Records show that the Asheville, North Carolina broker’s firm offers securities through Triad Advisors.
Suitability Complaint Against Regal Wealth’s Andrew Pincus
Boca Raton and Florham Park broker Andrew Pincus allegedly recommended unsuitable transactions, according to a pending investor complaint. Financial Industry Regulatory Authority records show that he is a representative of LPL Financial, doing business as Regal Wealth Advisors.
Luis Garcia: Miami Advisor Had Suitability Complaint
Luis Garcia (CRD# 4143376), a Miami broker and financial advisor, recently received an investor complaint that was denied by his member firm. Financial Industry Regulatory Authority records show that he is a representative of Oppenheimer & Company.
Mark Kemp: 6-Figure Complaints Against McNally Financial Advisor
Corpus Christi broker and financial advisor Mark Kemp (CRD# 2057200) has received several pending investor complaints alleging more than half a million dollars in damages. Financial Industry Regulatory Authority records show that he is a representative of McNally Financial Services, doing business as Kemp Financial Services.
Andrew Elsoffer: Beachwood Advisor Suspended by FINRA
The Financial Industry Regulatory Authority recently sanctioned ex-Stifel Nicolaus representative Andrew Elsoffer. FINRA and Securities and Exchange Commission records show that Mr. Elsoffer is a financial advisor with International Assets Advisory Management in Beachwood, Ohio.
REIT Complaint Against McFarlin Capital’s Hunter McFarlin
Murfreesboro, Tennessee financial advisor Hunter McFarlin (CRD# 2838151) has received an investor complaint alleging almost $1 million in damages. Financial Industry Regulatory Authorities show that the broker and investment adviser is a representative of McFarlin Capital, offering securities through Arkadios Capital.
Michael Rosalia: $1.6 Million Complaint Against Ex-Worden Advisor
Pending investor complaints against SW Financial broker Michael Rosalia (CRD# 2323953) allege more than $1 million in damages. Financial Industry Regulatory Authority records show that he is registered in Melville, New York, and used to be a representative of Worden Capital Management in Garden City, New York.
Peter Reinecke: $10mm Investor Complaint Against St. Louis Advisor
St. Louis broker and financial advisor Peter Reinecke (CRD# 2085940) has received an investor complaint alleging eight-figure damages. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Saxony Securities and Saxony Capital Management.
