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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Fred Hohensee: FINRA Suspends Abacus Advisor
Oconomowoc, Wisconsin financial advisor Fred Hohensee (CRD# 1431948) was recently suspended and fined in connection with allegations involving the sale of structured note products. Financial Industry Regulatory Authority records show that he is registered as a broker with Abacus Investments and an advisor with Hohensee Financial Services.
Rod Uy: $750K Complaint Against LifePoint Advisor
Torrance, California financial advisor Rod Uy (CRD# 4945992) allegedly made misrepresentations of material facts, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, doing business as LifePoint Wealth Management.
James Poindexter: $624K Complaint Against Financial Coach Advisor
Prescott, Arizona financial advisor James Poindexter (CRD# 1867899) recently received an investor complaint alleging that his conduct resulted in damages exceeding $600,000. Financial Industry Regulatory Authority records show that he is registered as a broker with McDermott Investment Services and an advisor with Independent Wealth Network, doing business as The Financial Coach.
Ron Oliver: Stifel Advisor Received $700K Complaint
A recent, denied investor complaint against Irvine, California financial advisor Ron Oliver (CRD# 1666760) alleges 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 Stifel Nicolaus & Company.
Mac McIntyre: $250K Complaint Against B. Riley Advisor
Oakbrook Terrace, Illinois financial advisor Mac McIntyre (CRD# 2839149) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with B. Riley Wealth.
Chris Mavrakos: $250K Complaint Against LPL, MFP Advisor
A recent investor complaint against Safety Harbor, Florida financial advisor Chris Mavarkos (CRD# 1793086) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with LPL Financial and an investment advisor with MFP Financial Services.
Stephen Scott: Options Complaint Against Morgan Stanley Advisor
A recent investor complaint against San Antonio, Texas financial advisor Stephen Scott (CRD# 5553385) concerns an investment in an options strategy. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Morgan Stanley.
Ken Vercellino: $10mm Complaint Against Raymond James Advisor
San Francisco financial advisor Ken Vercellino (CRD# 2583864) recently received an investor complaint alleging that his conduct resulted in eight-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Raymond James & Associates.
Rick Brown: $1.5mm Complaint Against Arete Advisor
A recent investor complaint against Nashville, Tennessee financial advisor Rick Brown (CRD# 2541545) alleges that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Arete Wealth Management.
Robert Wilson: Why Was Principal Advisor Fired by Wells Fargo?
Eagle, Idaho financial advisor Robert Wilson (CRD# 6394736) was recently fired by his prior member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Wells Fargo representative is currently registered as a broker with Principal Securities.
