A recent, closed investor complaint against Tampa, Florida financial advisor Roger Turcotte (CRD# 1180997) alleged that he made unauthorized trades....
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David Waal: Emerson Advisor Faces $2.3mm Complaint
Irvine, California financial advisor David Waal (CRD# 1226437) recently received an investor complaint alleging that he committed fraud. Financial Industry Regulatory Authority records show that he is registered as a broker with Emerson Equity, having previously been registered with Orchard Securities.
Nick Iarrapino: Wells Fargo Advisor Resigned from Morgan Stanley
Hackensack, New Jersey financial advisor Nick Iarrapino (CRD# 7588258) recently resigned from his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Wells Fargo Advisors Financial Network, having previously been registered with Morgan Stanley.
Rikki Foster: $700K Complaint Against RegalStone Advisor
A recent investor complaint against Roseville, California financial advisor Rikki Foster (CRD# 6075051) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Concorde Investment Services and Concorde Asset Management, respectively, doing business as RegalStone Wealth Management.
Jonathan Malinger: Wedbush Advisor Faces Negligence Allegations
Pasadena, California financial advisor Jonathan Malinger (CRD# 5201626) recently received an investor complaint alleging that he committed elder abuse. Financial Industry Regulatory Authority records show that he is registered as a broker with Wedbush Securities.
Vincent Ferrara: Ameriprise Advisor Lands $2mm Complaint
Garden City, New York financial advisor Vincent Ferrara (CRD# 1791902) allegedly misappropriated funds, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Ameriprise Financial Services, having previously been registered with Merrill Lynch.
Jason Pitts: $175K Complaint Against Former Cambridge Advisor Denied
A recent, denied investor complaint against Ashburn, Virginia financial advisor Jason Pitts (CRD# 2150845) alleged that he made an unauthorized transaction. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Wells Fargo Advisors, having previously been registered with Cambridge Investment Research.
Anita Lester: $200K Complaint Against Ex-Berthel Advisor
Gurnee, Illinois financial advisor Anita Lester (CRD# 4478199) recently received an investor complaint alleging that her conduct resulted in six-figure damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Berthel Fisher & Company broker is currently registered as an investment advisor with Brookstone Wealth Advisors.
Matthew Zagon: $90K Complaint Against Cova Capital Advisor
Syosset, New York financial advisor Matthew Zagon (CRD# 2165362) allegedly misrepresented investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Cova Capital Partners.
Sal LaRocca: Voya Advisor Faced $90K Denied Complaint
Melville, New York financial advisor Sal LaRocca (CRD# 1742689) recently received an investor complaint alleging that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Voya Financial Advisors.
Tom Hulick: $500K Complaint Against Strategy Asset Advisor
A recent investor complaint against Pasadena, California financial advisor Tom Hulick (CRD# 1806305) alleges that his advice resulted in half a million dollars in damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Newbridge Securities broker is registered as an investment advisor with Strategy Asset Managers, doing business… Read More »
