Murray, Utah financial advisor Ray DeWitt (CRD# 2894063) allegedly violated federal securities law, according to a recent investor complaint. Financial...
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Tim Hines: Merrill Advisor Receives Unauthorized Trading Complaint
Bloomington, Illinois financial advisor Tim Hines (CRD# 2341837) allegedly made unauthorized 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 Merrill Lynch.
David Rhodes: Suitability Complaint Against Rhodes Financial Advisor
A recent investor complaint against Bryan, Texas financial advisor David Rhodes (CRD# 2620006) alleges that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker with Cetera Advisor Networks and an advisor with Cetera Investment Advisers, doing business as the Rhodes Financial Group.
Robert Rose: $1mm Complaint Against Wells Fargo Advisor
Tampa, Florida financial advisor Robert Rose (CRD# 2874342) recently received an investor complaint alleging that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Wells Fargo Clearing and Wells Fargo Advisors, respectively.
Bo Nicholson: Cetera Advisor Lands $100K-$500K GWG Complaint
A recent investor complaint against Raleigh, North Carolina financial advisor Bo Nicholson (CRD# 6050450) concerns an investment in GWG L Bonds. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Capital Investment Group and Capital Investment Advisory Services, respectively.
Cameron Woodbury: Elder Abuse Complaint Against Archangel Advisor
Apple Valley, California financial advisor Cameron Woodbury (CRD# 6242348) recently received an investor complaint alleging that he engaged in unfair business practices. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Centaurus Financial, doing business as Archangel Financial.
Annette Kitchen: Equitable Advisor $350K Investor Complaint
Newport, Kentucky financial advisor Annette Kitchen (CRD# 4417535) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Equitable Advisors.
Jared Skemp: Key Advisor Lands Annuity Complaint
Warren, Pennsylvania financial advisor Jared Skemp (CRD# 4203805) recently received an investor complaint alleging that he misrepresented annuity investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Key Investment Services, having previously been registered with LPL Financial.
Hau Tran: $479K Complaint Against TransAmerica Advisor
El Paso financial advisor Hau Tran (CRD# 2906135) allegedly sold unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that Mr. Tran is registered as a broker and an investment advisor with TransAmerica Financial Services, having previously been registered with World Group Securities.
Derrick Watts: Ex-B. Riley Advisor Faces $3mm Complaint
A recent investor complaint against Chicago financial advisor Derrick Watts (CRD# 2479608) alleges that his advice resulted in seven-figure damages. Financial Industry Regulatory Authority records show that the former B. Riley Wealth Management representative is currently registered as a broker and an investment advisor with Packerland Brokerage Services.
Thad Allen: $104K Complaint Against Ex-Edward Jones Advisor
Topeka, Kansas financial advisor Thad Allen (CRD# 5644772) recently received an investor complaint alleging that his conduct resulted in damages exceeding $100,000. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Smith Moore & Company, having previously been registered with Edward Jones.
