Houston, Texas financial advisor Kim Tran (CRD# 5575725) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry...
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Robert Zink: $10mm Complaint Against Whitehall-Parker Advisor
Irvine, California financial advisor Robert Zink (CRD# 5105262) recently received an investor complaint alleging that his conduct resulted in eight-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Emerson Equity, having previously been registered with Whitehall-Parker Securities.
Sung Moo Cho: FINRA Bars Citi Advisor After Misappropriation Complaint
Former New York City financial advisor Sung Moo Cho (CRD# 5015906) was recently sanctioned and barred in connection with misappropriation allegations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Citi, having previously been registered with Ameriprise Financial Services.
Paul McIntyre & Al Dinicola: MSC BD Advisors Face Complaint
Lake Oswego, Oregon financial advisors Paul McIntyre (CRD# 1002368) and Al Dinicola (CRD# 1305518) allegedly recommended unsuitable transactions, according to a six-figure investor complaint. Financial Industry Regulatory Authority records show that each is registered as a broker with MSC BD, and that Mr. McIntyre is also registered as an investment advisor with Fiduciary Capital… Read More »
Steven Arnold & Michael Steinthal: Quincy Advisors Land Complaints
Chicago, Illinois financial advisors Steven Arnold (CRD# 710263) and Michael Steinthal (CRD# 435071) have received investor complaints alleging that their advice resulted in damages. Financial Industry Regulatory Authority records show that each is registered as a broker with Quincy Wells Capital.
Steve Nguyen: Merrill Advisor Faced Misappropriation Complaint
Boston, Massachusetts financial advisor Steve Nguyen (CRD# 6283575) allegedly misappropriated customer funds, according to a recent, denied investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch.
Ryan Yee: Suitability Complaint Against True North Advisor
A recent investor complaint against San Jose, California financial advisor Ryan Yee (CRD# 6327300) 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 Centaurus Financial, doing business as True North Advisors.
Tabrenia Davidson: Suitability Complaint Against Wells Fargo Advisor
Louisville, Colorado financial advisor Tabrenia Davidson (CRD# 3048752) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Wells Fargo.
Christopher Vargas: Atlas Benefits Advisor Faced Annuity Complaint
A recent, denied investor complaint against Hauppage, New York financial advisor Christopher Vargas (CRD# 4878537) alleged that his advice resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Equity Services and an investment advisor with ESI Financial Advisors, doing business as Atlas Benefits Advisor and Teachers… Read More »
Curtis Sathre: $754K Complaint Against Ex-JRL Capital Advisor
A recent investor complaint against Oceanside, California financial advisor Curtis Sathre (CRD# 2459115) alleges that his advice resulted in damages exceeding $700,000. Financial Industry Regulatory Authority records show that he is registered as a broker with Quincy Wells Capital and an investment advisor with Quincy Wells Advisors.
Rob Pecha: $1.2mm Complaint Against Ex-Great Point Advisor
Chicago, Illinois financial advisor Rob Pecha (CRD# 5579770) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Quincy Wells Capital, having previously been registered with Great Point Capital.
