Former Orlando, Florida financial advisor Richard Routie (CRD# 4379905) was recently sanctioned and suspended in connection with allegations that he...
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Juan Rascon: $1mm-$5mm Complaint Against Cetera Advisor
Houston, Texas financial advisor Juan Rascon (CRD# 5631144) allegedly recommended unsuitable investments, according to a recent, denied investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Cetera Investment Services.
Gene Webb: Paulson Advisor Faces Unauthorized Trading Complaint
Portland, Oregon financial advisor Gene Webb (CRD# 1851855) allegedly made unauthorized purchases, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Paulson Investment Company, having previously been registered with GVC Capital.
Nathan Wallace: Why Did Savvy Fire Greyfox Advisor?
Ojai, California financial advisor Nathan Wallace (CRD# 5646552) was recently fired by the investment adviser firm Savvy in connection with alleged policy violations. Securities and Exchange Commission records show that he is now registered as an investment advisor with Greyfox Investors.
Kyle Chapman FINRA Suspends Foundations Investment Advisor
Henderson, Nevada financial advisor Kyle Chapman (CRD# 6303483) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former American Trust Investment Services broker is currently registered as an investment advisor with Foundations Investment Advisors. He is also registered as… Read More »
Peter Cox: NSB Wealth Advisor Receives Trading Complaint
Las Vegas, Nevada financial advisor Peter Cox (CRD# 4501828) recently received a investor complaint alleging that he made unauthorized trades. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, doing business as NSB Wealth Advisors.
Michael Buonanno: $1mm REIT Complaint Against Cetera Advisor
East Northport, New York financial advisor Michael Buonanno (CRD# 2823332) recently received an investor complaint alleging that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Cetera Advisors Networks, having previously been registered with North Ridge Securities Corporation.
Nicholas Tsikitas: Aegis Advisor Denies Suitability Complaint
A recent investor complaint against Melville, New York financial advisor Nicholas Tsikitas (CRD# 2871712) alleges that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker with Aegis Capital Corporation, having previously been registered with JD Nicholas & Associates.
Brian Pavelko: FINRA Investigates NI Advisor
Milpitas, California financial advisor Brian Pavelko (CRD# 6347352) allegedly engaged in a “deceptive scheme” involving private placement offerings, according to a regulatory investigation. Financial Industry Regulatory Authority records show that he is registered as a broker with NI Advisors, having previously been registered with SW Financial.
EcoVest Capital Settles Conservation Easement Fraud Allegations
In March 2023 the conservation easement sponsor EcoVest Capital reached a settlement with the US Department of Justice in connection with federal allegations of fraud and other forms of misconduct. According to a report by The DI Wire, the settlement agreement includes an indefinite prohibition from “future involvement in the sale or promotion of… Read More »
Jim Vukovich: PNC Advisor Faces $300K Complaint
A recent investor complaint against Grand Terrace, California financial advisor Jim Vukovich (CRD# 4842997) alleges 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 PNC Investments.
