Santa Clara, California financial advisor Darren Bado (CRD# 6678445) is under investigation for alleged misconduct. Financial Industry Regulatory Authority records...
Read MoreRecent Blog Posts
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.
Davee Schulte: Raymond James Advisor Lands Misappropriation Complaint
Chula Vista, California financial advisor Davee Schulte (CRD# 2814412) allegedly misappropriated customer 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 Raymond James Financial Services.
David N. Cohen: Misappropriation Complaint Against Cetera Advisor
Yonkers, New York financial advisor David N. Cohen (CRD# 5083883) recently received an investor complaint alleging that he misappropriated client funds. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Cetera Investment Services and Cetera Investment Advisers, respectively.
Amit Urban: $475K Complaint Against Fortitude Advisor
A recent investor complaint against Ann Arbor, Maryland financial advisor Amit Urban (CRD# 6855682) alleges that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Concorde Investment Services, doing business as Fortitude Investment Group.
Joseph Lenderman: Equitable Advisor Faced Denied Complaint
A recent, denied investor complaint against Fort Worth, Texas financial advisor Joseph Lenderman (CRD# 7128657) alleged that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Equitable Advisors.
Nick Olivas: Why Did LPL Fire Prospera, Bregma Advisor?
Irvine, California financial advisor Nick Olivas (CRD# 6803146) was recently terminated from his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former LPL Financial representative is registered as a broker and an investment advisor with Prospera Financial Services, doing business as Bregma Private Wealth.
Michael Bird: Everest Retirement Advisor Faces Complaint
Fort Mill, South Carolina financial advisor Michael Bird (CRD# 5100115) 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 Cambridge Investment Research, doing business as Everest Retirement.
Connor Green: Joseph Gunnar Advisor Lands Investor Complaint
A recent investor complaint against Uniondale, New York financial advisor Connor Green (CRD# 7448002) alleges that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Joseph Gunnar & Company.
Dominic Meyers: $300K REIT Complaint Against Cetera Advisor
San Diego, California financial advisor Dominic Meyers (CRD# 5107939) 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 Cetera Wealth Services and an investment advisor with Cetera Investment Advisers, doing business as Lincoln Capital.
