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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David Waal: Emerson Advisor Faces $2.3mm Complaint
Irvine, California financial advisor David Waal (CRD# 1226437) 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, having previously been registered with Orchard Securities.
Nick Iarrapino: Wells Fargo Advisor Resigned from Morgan Stanley
Hackensack, New Jersey financial advisor Nick Iarrapino (CRD# 7588258) 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 Financial Network, having previously been registered with Morgan Stanley.
Rikki Foster: $700K Complaint Against RegalStone Advisor
A recent investor complaint against Roseville, California financial advisor Rikki Foster (CRD# 6075051) alleges 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 Concorde Investment Services and Concorde Asset Management, respectively, doing business as RegalStone Wealth Management.
Jonathan Malinger: Wedbush Advisor Faces Negligence Allegations
Pasadena, California financial advisor Jonathan Malinger (CRD# 5201626) recently received an investor complaint alleging that he committed elder abuse. Financial Industry Regulatory Authority records show that he is registered as a broker with Wedbush Securities.
Vincent Ferrara: Ameriprise Advisor Lands $2mm Complaint
Garden City, New York financial advisor Vincent Ferrara (CRD# 1791902) allegedly misappropriated funds, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Ameriprise Financial Services, having previously been registered with Merrill Lynch.
Jason Pitts: $175K Complaint Against Former Cambridge Advisor Denied
A recent, denied investor complaint against Ashburn, Virginia financial advisor Jason Pitts (CRD# 2150845) alleged that he made an unauthorized transaction. 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 Cambridge Investment Research.
Anita Lester: $200K Complaint Against Ex-Berthel Advisor
Gurnee, Illinois financial advisor Anita Lester (CRD# 4478199) recently received an investor complaint alleging that her conduct resulted in six-figure damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Berthel Fisher & Company broker is currently registered as an investment advisor with Brookstone Wealth Advisors.
Matthew Zagon: $90K Complaint Against Cova Capital Advisor
Syosset, New York financial advisor Matthew Zagon (CRD# 2165362) allegedly misrepresented investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Cova Capital Partners.
Sal LaRocca: Voya Advisor Faced $90K Denied Complaint
Melville, New York financial advisor Sal LaRocca (CRD# 1742689) 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 with Voya Financial Advisors.
Shelby Rothman: Suitability Complaint Against EnJoy Financial Advisor
Glendale, California financial advisor Shelby Rothman (CRD# 4166632) 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 Cambridge Investment Research, doing business as EnJoy Financial.
