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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Charles Garrido: AGP Advisor Lands $150K GWG Complaint
Chicago, Illinois financial advisor Charles Garrido (CRD# 1191231) recently received an investor complaint alleging 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 Alliance Global Partners, also known as AGP.
Sherri Desjardins: Bond Complaint Against Centaurus Advisor
A recent investor complaint against Lady Lake, Florida financial advisor Sherri Desjardins (CRD# 6310011) recently received an investor complaint alleging that she recommended unsuitable investments. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Centaurus Financial, doing business as Desjardins Retirement Solutions.
Arthur DeFilippo: $500K Complaint Against Revere Advisor
Boston, Massachusetts financial advisor Arthur DeFilippo (CRD# 1348804) recently received an investor complaint alleging that his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is registered as a broker with Revere Securities.
David Milowe: RBC Advisor Faces Mismanagement Complaint
Wellesley Hills, Massachusetts financial advisor David Milowe (CRD# 1387139) recently received an investor complaint alleging mismanagement that resulted in losses. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with RBC Capital Markets.
Ed Fredericks: Equitable Advisor Faces Trading Complaint
Milford, Connecticut financial advisor Ed Fredericks (CRD# 2202730) allegedly made unauthorized and unsuitable trades, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Equitable Advisors.
Peter Wallace: Oppenheimer Advisor Faced Margin Complaint
A recent, denied investor complaint against North Palm Beach, Florida financial advisor Peter Wallace (CRD# 2232489) alleged that he used margin without authorization. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Oppenheimer & Company.
William Clary: $218K Complaint Against DA Davidson Advisor
A recent investor complaint against Medford, Oregon financial advisor William Clary (CRD# 2300201) alleges that he failed to prevent the potential exploitation of a client. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with DA Davidson & Company.
David Loesch: $179K Complaint Against DRL Group Advisor
Katy, Texas financial advisor David Loesch (CRD# 2380024) allegedly failed to explain the use of margin, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with NewEdge Securities and the owner of The DRL Group.
Todd Walker: Arapaho Advisor Lands $200K Bond Complaint
Centennial, Colorado financial advisor Todd Walker (CRD# 2503388) 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 and an investment advisor with Centaurus Financial, doing business as Arapaho Asset Management.
Ben Schick: Cobalt Advisor Faces $900K iCap
Lake Mary, Florida financial advisor Ben Schick (CRD# 4897243) recently received an investor complaint alleging that he misrepresented and recommended unsuitable investments in iCap. Financial Industry Regulatory Authority records show that he is registered as a broker with Cobalt Capital.
