Bronx, New York financial advisor Michael Pak (CRD# 4052829) allegedly recommended an unsuitable structured note, according to a recent investor...
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Elaine Zito: Ex-Newbridge Advisor Named in Inspired Healthcare Form D
Former Scottsdale, Arizona financial advisor Elaine Zito (CRD# 2849238) 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 she was most recently registered as a broker with Newbridge Securities Corporation and an investment advisor with Portsmouth-SmartLife Financial Group.
Brian Cantel: BFC Advisor Named in Inspired Healthcare Filing
A recent investor complaint against Flowery Branch, Georgia financial advisor Brian Cantel (CRD# 1743229) alleges that his advice resulted in 7-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Berthel Fisher & Company, doing business as Cantel Wealth Management.
James Lamont: Ex-Whitehall Broker Named in Inspired Healthcare Filing
Former San Francisco financial advisor James Lamont (CRD# 2846228) has received multiple investor complaints alleging that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he was most recently registered as a broker and an investment advisor with Whitehall-Parker Securities.
Jennifer Li: Misrepresentation Complaint Against Agile Advisor
Atlanta, Georgia financial advisor Jennifer Li (CRD# 4871851) allegedly misrepresented material facts, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is registered as a broker with Arkadios Capital and an investment advisor with Arkadios Wealth Advisors, doing business as Agile Advisory.
Tim Dorothy: Raymond James Advisor Faced Suitability Complaint
Atlanta, Georgia financial advisor Tim Dorothy (CRD# 6600401) recently received an investor complaint alleging that his advice resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Raymond James & Associates.
Gary Frisch: $112K Complaint Against Landmark Advisor
A recent investor complaint against Surprise, Arizona financial advisor Gary Frisch (CRD# 5037164) alleges that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Cetera Wealth Services and an advisor with Cetera Investment Advisers, doing business as Landmark Financial.
Ann Reagan: Landmark Advisor Faces 6-Figure Complaint
Surprise, Arizona financial advisor Ann Reagan (CRD# 5597215) allegedly made unauthorized trades, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Cetera, doing business as Landmark Financial Advisors.
Joshua Helvie: Why Was Vanderbilt Advisor Fired by LPL?
Zionsville, Indiana financial advisor Joshua Helvie (CRD# 2894058) was recently fired by his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former LPL Financial representative is currently registered as a broker with Vanderbilt Securities and an investment advisor with Vanderbilt Advisory Services.
Andy Tressler: Why Was Modern Capital Advisor Fired by Trident?
Raleigh, North Carolina financial advisor Andy Tressler (CRD# 2776349) was recently terminated from his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Trident Partners representative is currently registered as a broker and advisor with Modern Capital Securities.
Stephen Patterson: $848K Complaint Against Alden Advisor
A recent investor complaint against Southlake, Texas financial advisory Stephen Patterson (CRD# 7206447) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with J. Alden Associates and an investment advisor with Alden Investment Group.
