Columbus, Indiana financial advisor Joe Doggett (CRD# 1033987) has received multiple investor complaints alleging that his conduct resulted in losses....
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Greg Ritter: $135K Complaint Against Family Financial Advisor
Delaware, Ohio financial advisor Greg Ritter (CRD# 3087358) allegedly violated securities industry rules and regulations, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Emerson Equity, doing business as Family Financial of Central Ohio.
Andy Huang: Glendale Securities Advisor Faces $580K Complaint
Brooklyn, New York financial advisor Andy Huang (CRD# 3268328) recently received an investor complaint that alleges conversion of funds and unjust enrichment. Financial Industry Regulatory Authority records show that he is registered as a broker with Glendale Securities and that he has previously been sanctioned by FINRA.
Patrick Moriarty: Aegis Advisor Fired by UBS Financial
Newton, Massachusetts financial advisor Patrick Moriarty (CRD# 4764378) was recently fired from a former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former UBS Financial Services broker is currently registered as an investment advisor with Aegis Capital.
Mario Payne: TOAMS Financial Advisor Faces 7-Figure Complaints
Jacksonville, Florida financial advisor Mario Payne (CRD# 5445757) has received multiple investor complaints alleging that he recommended unsuitable and concentrated investments. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Raymond James broker is registered as an investment advisor with TOAMS Financial.
Chris Shaw: FINRA Suspends Newbridge Advisor over GPB Capital Sales
A recent sanction against Belmont, North Carolina financial advisor Chris Shaw (CRD# 5011382) alleged that he recommended unsuitable investments in GPB Capital. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Newbridge Securities Corporation broker is currently registered as an investment advisor with Newbridge Financial Services.
Bill Campbell: FINRA Suspends Ex-David Lerner Advisor
Former White Plains, New York financial advisor Bill Campbell (CRD# 1180015) was recently suspended in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with David Lerner Associates.
Steven McCormick: FINRA Bars Osaic Advisor
Simi Valley, California financial advisor Steven McCormick (CRD# 5059233) was recently barred by FINRA in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor Osaic Wealth, having previously been registered with Woodbury Financial Services. A Letter of Acceptance, Waiver, and Consent… Read More »
Ken Judd: FINRA Bars Former Valkyrie Equities Advisor
Former Farmers Branch, Texas financial advisor Ken Judd (CRD# 7110607) has been sanctioned in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was formerly registered as a broker with Valkyrie Equities Corporation.
Tommy Bolton: $269K Annuity Complaint Against Stifel Advisor
Fayetteville, North Carolina financial advisor Tommy Bolton (CRD# 1398115) recently received an investor complaint alleging that his advice resulted in damages exceeding $200,000. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Stifel Nicolaus & Company.
Alain Ohayon: Did Aegis Advisor Breach Fiduciary Duty?
Melville, New York financial advisor Alain Ohayon (CRD# 1180975) recently received an investor complaint alleging that he breached his fiduciary duty and recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker with Aegis Capital.
