A recently published news release describes an investigation into allegations that broker-dealer firm Forge Securities (CRD# 134596) played a role...
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Brian Tsai: Landolt Advisor Sanctioned over GWG L-Bond Sales
Dallas, Texas financial advisor Brian Tsai (CRD# 6687951) was recently sanctioned in connection with the sale of GWG L-Bonds. Financial Industry Regulatory Authority records show that he is registered as a broker with Landolt Securities and an investment advisor with TKC Wealth Management.
Alan Ngo: Primerica Advisor Barred by FINRA
Former Freehold, New Jersey financial advisor Alan Ngo (CRD# 4273116) was recently sanctioned and barred in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with PFS Investment Services, also known as Primerica.
Kevin McCarthy: FINRA Bars Madison Avenue Advisor
Former Hialeah, Florida financial advisor Kevin McCarthy (CRD# 1702715) was recently sanctioned and barred in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Madison Avenue Securities, doing business as Kevin McCarthy Advisory Services.
Matthew Fetui: $7 Million Complaint Against Wells Fargo Advisor
Costa Mesa, California financial advisor Matthew Fetui (CRD# 5511717) recently received an investor complaint alleging that his advice resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Wells Fargo Clearing Services and Wells Fargo Advisors, respectively.
Robert Boggess: Ex-Great Point Advisor Faces $50K-$100K DST Complaint
Chicago, Illinois financial advisor Robert Boggess (CRD# 5007422) allegedly recommended an unsuitable in transaction, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Quincy Wells Capital and does business as Irexa, having previously been registered with Great Point Capital.
Melissa Dixon: $591K Complaint Against Ex-LPL Advisor
A recent investor complaint against Fort Collins, Colorado financial advisor Melissa Dixon (CRD# 5193232) alleges that her conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Cambridge Investment Research, doing business as JBA Wealth Management.
Vanessa Ly: Why Did Cetera Advisor Resign from Morgan Stanley?
Newport Beach, California financial advisor Vanessa Ly (CRD# 4664226) recently resigned from her former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Morgan Stanley representative is currently registered as a broker and an investment advisor with Cetera Investment Services and Cetera Wealth Advisers, respectively.
Tim Marshall: Ex-Great Point Advisor Receives DST Complaint
Chicago, Illinois financial advisor Tim Marshall (CRD# 2037031) recently received an investor complaint alleging that he recommended an unsuitable investment. Financial Industry Regulatory Authority records show that he is registered as a broker with Quincy Wells Capital and the owner of TM 1031 Exchange, having previously been registered with Great Point Capital.
Jacob Luther: Fifth Third Advisor Lands Misrepresentation Complaint
A recent, denied investor complaint against Jacksonville, Florida financial advisor Jacob Luther (CRD# 5915075) alleges that his advice resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Fifth Third Securities.
Billy Lodico: $200K Complaint Against Craft Capital Advisor
Garden City, New York financial advisor Billy Lodico (CRD# 6096241) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Craft Capital Management, having previously been registered with Alexander Capital.
