Former Orlando, Florida financial advisor Richard Routie (CRD# 4379905) was recently sanctioned and suspended in connection with allegations that he...
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Sandy Simmons: Ex-Patrick Capital Advisor Barred, Faces $1.8mm Claim
Former Castle Rock, Colorado financial advisor Sandy Simmons (CRD# 1018907) recently received a seven-figure investor complaint and was barred over alleged rule violations. Financial Industry Regulatory Authority records show that he was previously registered with Saxony Securities, Patrick Capital Markets, and Colorado Financial Service Corporation.
Kittiany Davis Barrios: FINRA Bars Ex-PFS Advisor
Former Cranbury, New Jersey financial advisor Kittiany Davis Barrios (CRD# 6941840) was recently sanctioned in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former PFS Investments broker is currently not registered with any state or broker-dealer firm.
Hal Klein: FINRA Suspends Pacific Pointe, Ex-LPL Advisor
Seal Beach, California financial advisor Hal Klein (CRD# 1021759) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is registered as a broker with NewEdge Securities and an advisor with NewEdge Advisors, doing business as Pacific Pointe Advisors.
Brendan Kelly: IFP Advisor Faces Misrepresentation Complaint
Downington, Pennsylvania financial advisor Brendan Kelly (CRD# 2208036) recently received an investor complaint alleging that his conduct resulted in losses. Financial Industry Regulatory Authority records show that the former Alera Investment Services representative is currently registered as a broker and an investment advisor with IFP Securities.
Elias Reyna: Suitability Complaint Against Centaurus Advisor
Merced, California financial advisor Elias Reyna (CRD# 3028584) recently received an investor complaint alleging that his advice resulted in losses. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Centaurus Financial, doing business as Reyna Wealth Management.
Vince LaGatta: RAISE Advisor Lands Investor Complaints
Gilbert, Arizona financial advisor Vince LaGatta (CRD# 3098611) allegedly misrepresented investments, according to investor complaints. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Osaic Wealth, and that he is a representative of RAISE Asset Management.
Jeff Wright: Churning Complaint Against Garden State Advisor
A recent investor complaint against Red Bank, New Jersey financial advisor Jeff Wright (CRD# 2538701) alleges that he made unauthorized trades. Financial Industry Regulatory Authority records show that he is registered as a broker with Garden State Securities and an investment advisor with Garden State Investment Advisory Services.
Weina Hou: $500K-$1mm Complaint Against Cetera Advisor
San Mateo, California financial advisor Weina Hou (CRD# 5901613) allegedly misrepresented investments, according to recent investor complaints. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Cetera Investment Services and Cetera Investment Advisers, respectively.
Steve Van Metre: Atlas Advisor Faces $500K ETF Complaint
A recent investor complaint against Winter Garden, Florida financial advisor Steve Van Metre (CRD# 4994543) alleges that his advice resulted in six-figure damages. Securities and Exchange Commission records show that he is registered as a broker and an investment advisor with Atlas Financial Advisors.
Collin Fingon: Cetera Advisor Fired by Bright Future Wealth
Rutland, Vermont financial advisor Collin Fingon (CRD# 4832770) was recently fired by a former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Bright Future Wealth Management broker is currently registered with Cetera Advisors.
