A recently published news release describes an investigation into allegations that broker-dealer firm Forge Securities (CRD# 134596) played a role...
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Roger Turcotte: Cetera Advisor Faced Unauthorized Trading Complaint
A recent, closed investor complaint against Tampa, Florida financial advisor Roger Turcotte (CRD# 1180997) alleged that he made unauthorized trades. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Cetera Investment Services and Cetera Investment Advisors, respectively.
Jon Toerner: Why Was Stifel Advisor Fired by Fidelity?
Austin, Texas financial advisor Jon Toerner (CRD# 7330298) was recently fired by his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Fidelity Brokerage Services representative is registered as a broker and an investment advisor with Stifel Nicolaus & Company.
Christy Lambert: Bridge Wealth Advisor Faced Bond Complaint
A recent, denied investor complaint against Columbus, Ohio financial advisor Christy Lambert (CRD# 1919326) alleged that her advice resulted in losses. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Wells Fargo Advisors.
Bert Mills: $180K Complaint Against Edward Jones Advisor
Mesa, Arizona financial advisor Bert Mills (CRD# 5614645) 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 Edward Jones.
Matthew Parker: Why Was Wedbush Advisor Fired by LPL?
Santa Rosa, California financial advisor Matthew Parker (CRD# 6010373) was fired by his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former LPL Financial broker is registered as a broker and an investment advisor with Wedbush Securities.
Susan Butler: Edward Jones Advisor Faces Misappropriation Complaint
Independence, Missouri financial advisor Susan Butler (CRD# 6222652) allegedly misappropriated funds, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Edward Jones.
Alan Lowenfells: Energy 11 Complaint Against David Lerner Advisor
White Plains, New York financial advisor Alan Lowenfells (CRD# 4512765) allegedly recommended unsuitable Energy 11 and Energy 12 private placements, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with David Lerner Associates.
Jessica Jung: Suitability Complaint Against Vast Wealth Advisor
A recent investor complaint against Brentwood, Tennessee financial advisor Jessica Jung (CRD# 4922155) alleges that she misrepresented and recommended unsuitable investments. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Cambridge Investment Research, doing business as Vast Wealth Advisors.
Blake Scherr: Merrill Lynch Advisor Faces $1mm Complaint
Vienna, Virginia financial advisor Blake Scherr (CRD# 5043294) recently received an investor complaint alleging that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records how that he is registered as a broker and an investment advisor with Merrill Lynch.
Dieter Huber: Suitability Complaint Against Aegis Capital Advisor
Red Bank, New Jersey financial advisor Dieter Huber (CRD# 2742065) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Aegis Capital Corporation.
