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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Paul Oh: Balboa Capital Advisor Fired by Citigroup
Newport Beach, California financial advisor Paul Oh (CRD# 5885535) was recently fired by his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Citigroup Global Markets broker is currently registered as an investment advisor with Balboa Capital Markets.
John Lee: REIT Complaint Against Lee Nng & Associates Advisor
A recent investor complaint against Pleasanton, California financial advisor John Lee (CRD# 2948622) alleges that he misrepresented and recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Independent Financial Group, doing business as Lee Ng & Associates.
Tomer Mizrahi: Wells Fargo Advisor Resigned from Morgan Stanley
Hackensack, New Jersey financial advisor Tomer Mizrahi (CRD# 7554787) recently resigned from his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Wells Fargo Advisors, having previously been registered with Morgan Stanley.
Robert Smith: $1mm-$2.3mm Complaint Against Peregrine Advisor
Newberg, Oregon financial advisor Robert Smith (CRD# 1412333) has received multiple investor complaints alleging that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Emerson Equity, doing business as Peregrine Private Capital.
Wally Smith: $1mm-$2.3mm Complaint Against Ridgegate Advisor
Englewood, Colorado financial advisor Wally Smith (CRD# 4844156) recently received an investor complaint alleging that he committed fraud. Financial Industry Regulatory Authority records show that he is registered as a broker with Emerson Equity and an investment advisor with Ridgegate Advisors.
Alvaro Jiron: $100K-$500K Complaint Against SouthState Advisor
Coral Gables, Florida financial advisor Alvaro Jiron (CRD# 4226147) allegedly misrepresented an investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, doing business as South State Investment Services.
Frank Gomez: $395K Complaint Against LPL Advisor
Fate, Texas financial advisor Frank Gomez (CRD# 6289883) recently received an investor complaint alleging his advice resulted six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, doing business as Diligent Hands Wealth Management.
Thaddeus Eubanks: Edward Jones Advisor Faces $2.5mm Complaint
Yuba City, California financial advisor Thaddeus Eubanks (CRD# 5888014) recently received an investor complaint alleging that his conduct resulted in more than $2 million in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Edward Jones.
Nate Goad: J. Alden Advisor Faces $3.8mm Complaint
Largo, Florida financial advisor Nate Goad (CRD# 5421740) has received multiple investor complaints alleging his conduct resulted in six- or seven-figure damages. Financial Industry Regulatory Authority record show that he is registered as a broker with J. Alden Associates and an investment advisor with Alden Investment Group.
Steve Brundage: $1.2mm Complaint Against Ameriprise Advisor
Las Vegas, Nevada financial advisor Steve Brundage (CRD# 2597779) recently received an investor complaint alleging that his conduct resulted in damages of more than $1 million. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Ameriprise Financial Services.
