Santa Clara, California financial advisor Darren Bado (CRD# 6678445) is under investigation for alleged misconduct. Financial Industry Regulatory Authority records...
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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.
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.
