Irvine, California financial advisor Jim Raia (CRD# 2397301) has received multiple investor complaints alleging that his advice resulted in damages....
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Josiah Lederman: $500K-$1mm Complaint Against Concorde Advisor
Fort Wayne, Indiana financial advisor Josiah Lederman (CRD# 6871359) allegedly recommended an unsuitable investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Concorde Investment Services and an investment advisor with Concorde Asset Management, doing business as Lederman Financial Services.
NouaChi Vang: LPL Advisor Faces 6-Figure Complaint
Maple Grove, Minnesota financial advisor NouaChi Vang (CRD# 5090132) recently received an investor complaint alleging that she misappropriated funds. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with LPL Financial, doing business as NouaChi Vang Financial Services.
Rich Barber: Glendale Securities Advisor Faces $40mm Complaint
A recent investor complaint against Sherman Oaks, California financial advisor Rich Barber (CRD# 1298800) alleges that his conduct resulted in eight-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with TechSpeed Securities and Glendale Securities, having previously been registered with Wilson-Davis Company.
Paul Meyer: FINRA Suspends RBC Advisor over Discretionary Trades
Minnetonka, Minnesota financial advisor Paul Meyer (CRD# 3062534) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the RBC Capital Markets broker and investment advisor has also received several investor complaints.
Kyle Critcher: Ex-LPL Advisor Suspended; Bond Allegations
Former Fort Mill, South Carolina financial advisor Kyle Critcher (CRD# 7351555) was recently sanctioned and suspended in connection with allegedly negligent bond recommendations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with LPL Financial.
Doug McCauley: FINRA Bars Ex-Madison Ave Advisor
Former Arlington, Virginia financial advisor Doug McCauley (CRD# 1257811) was recently sanctioned and barred in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Madison Avenue Securities broker is currently not registered with any state or firm.
Josh Jaffe: Longbridge, Ex-Ameriprise Advisor Faced $202K Complaint
A recent, denied investor complaint against Newark, Ohio financial advisor Josh Jaffe (CRD# 5085863) alleged that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Steward Partners, whose website describes him as a member of the firm’s Longbridge Wealth… Read More »
John Pulliam: Why Did Raymond James Fire Leaders Group Advisor?
Summit, New Jersey financial advisor John Pulliam (CRD# 2224237) was recently fired by his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Raymond James Financial Services representative is currently registered as a broker with The Leaders Group.
JP Ledesma: Emerson Equity Advisor Faces Fraud Complaints
Irvine, California financial advisor JP Ledesma (CRD# 2379751) has received multiple investor complaints alleging that he violated industry laws and rules. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Emerson Equity.
Lei Wang: Investor Complaint Against Osaic Advisor
West Palm Beach, Florida financial advisor Lei Wang (CRD# 2626500) recently received an investor complaint alleging that she misrepresented an investment. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Osaic Wealth.
