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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Andrew Ciccone: Kestra, Ex-Schwab Advisor Lands $500K Complaint
Austin, Texas financial advisor Andrew Ciccone (CRD# 6864958) recently received an investor complaint alleging that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Kestra Investment Services, having previously been registered with Charles Schwab & Company.
Dave Stone: $1mm-$5mm Complaints Against Stifel Advisor
New York City financial advisor Dave Stone (CRD# 4219856) has received multiple investor complaints alleging that his conduct resulted in six- or seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Stifel Nicolaus & Company.
Todd Roggen: Ex-Raymond James Advisor Faces Suitability Complaint
Houston, Texas financial advisor Todd Roggen (CRD# 721463) recently received an investor complaint alleging that he recommended unsuitable private placements. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Raymond James broker is currently registered as an investment advisor with OneSeven. Mr. Roggen’s BrokerCheck report discloses several investor complaints…. Read More »
Mike Roberts: $2mm Complaint Against Oak Wealth Advisor
A recent investor complaint against Gilbert, Arizona financial advisor Mike Roberts (CRD# 4700058) alleges that his advice resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with The Strategic Financial Alliance, doing business as Oak Wealth Management.
Jade Eagles: WealthGarden Advisor Lands $1 Million Complaint
El Segundo, California financial advisor Jade Eagles (CRD# 5939276) allegedly committed fraud and deceit, according to a recent investor complaint. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former TIAA-CREF broker is registered as an investment advisor with the WealthGarden.
Aaron Liu: Investor Complaint Against Morgan Stanley Advisor
Pasadena, California financial advisor Aaron Liu (CRD# 6085987) 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 Morgan Stanley.
Kevin McBarron: Annuity Complaint Against Ex-Union Capital Advisor
A recent investor complaint against Carlsbad, California financial advisor Kevin McBarron (CRD# 1282026) alleges that he was professionally negligent. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, doing business as WealthPlanners.
Byron Strong: Ex-Woodbury Advisor Lands $835K Complaint
Florissant, Missouri financial advisor Byron Strong (CRD# 4651640) recently received an investor complaint alleging that his conduct resulted in damages exceeding $800,000. Financial Industry Regulatory Authority records show that he is registered as a broker with Cambridge Investment Research, having previously been registered with Woodbury Financial Services.
Paul Addo: $316K Complaint Against UBS, Ex-Merrill Advisor
A recent investor complaint against Denver, Colorado financial advisor Paul Addo (CRD# 5422664) 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 UBS Financial Services.
Timothy Yee: Green Retirement Advisor Faces $126K Complaint
Alameda, California financial advisor Timothy Yee (CRD# 2492578) allegedly recommended an unsuitable 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 Independent Financial Group, doing business as Green Retirement.
