Portland, Oregon financial advisor Derek Stamos (CRD# 6667533) has been named in a pending enforcement action by securities regulators in...
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Blake Furgerson: Investor Complaint Against Stifel Advisor
Fort Worth, Texas financial advisor Blake Furgerson (CRD# 6055795) 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 and an investment advisor with Stifel Nicolaus & Company, having previously been registered with Merrill Lynch.
Brad Davidson: College Yard Advisor Lands $475K Complaint
A recent investor complaint against Mission Viejo, California financial advisor Brad Davidson (CRD# 5142256) alleges that his investment advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Emerson Equity, doing business as College Yard Investments.
Robert Tudor: Voya Advisor Faces $100K-$500K Complaint
Buford, Georgia financial advisor Robert Tudor (CRD# 5670404) recently received an investor complaint alleging 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 Voya Financial Advisors.
Michael Pineda: $105K Complaint Against LifeMark Advisor
Denver, Colorado financial advisor Michael Pineda (CRD# 2337780) recently received an investor complaint alleging that he made unsuitable investment recommendations. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LifeMark Securities.
Melvin Feldman: $580K Complaint Against GMS Advisor
Jersey City, New Jersey financial advisor Melvin Feldman (CRD# 205924) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with The GMS Group.
Edwin Brant Frost IV & First Liberty: Ponzi Scheme Allegations
First Liberty Building & Loan, LLC and its founder-owner Edwin Brant Frost IV allegedly orchestrated a Ponzi scheme in which they defrauded hundreds of investors of at least $140 million in funds, according to charges filed by the Securities and Exchange Commission in July 2025.
Spartan Capital Securities: FINRA Files Fraud Allegations
Spartan Capital Securities (CRD# 146251) allegedly engaged in a years-long fraud in which it “defrauded customers by engaging in widespread churning, generating millions in revenue and causing customers millions in harm,” according to a complaint filed by the Financial Industry Regulatory Authority. In addition to the firm, the enforcement action also names as respondents… Read More »
Keith D’Agostino: Ex-Aegis Advisor Suspended over Microcap Sales
Former Woodbury and Melville, New York financial advisor Keith D’Agostino (CRD# 2837860) was recently sanctioned and suspended in connection with allegedly improper investment recommendations. Financial Industry Regulatory Authority records show that he was most recently registered with EF Hutton and Aegis Capital.
Ray DeWitt: Realta Advisor Faces Investor Complaint
Murray, Utah financial advisor Ray DeWitt (CRD# 2894063) allegedly violated federal securities law, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Realta Equities and an investment advisor with both Realta Investment Advisors and Transce3nd, doing business as 1031 DST Group.
David Kangas: $1.25mm Complaint Against Cornerstone Advisor
Richmond, Virginia financial advisor David Kangas (CRD# 6591398) 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 WealthForge Securities, doing business as Cornerstone Real Estate Investment Services.
