Murray, Utah financial advisor Ray DeWitt (CRD# 2894063) allegedly violated federal securities law, according to a recent investor complaint. Financial...
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P. Alison Fleming: $500K Complaint Against Lumena Advisor
A recent investor complaint against San Diego financial advisor P. Alison Fleming (CRD# 1960175) alleges that her advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with LPL Financial, doing business as Lumena Financial Services.
John Lemak: $475K Complaint Against Axiom Advisor
New York City financial advisor John Lemak (CRD# 845891) allegedly breached his fiduciary duty, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Axiom Capital Management and an investment advisor with Sandor Advisors.
Joe Notarfrancesco: $194K Complaint Against 58 Group Advisor
Melville, New York financial advisor Joe Notarfrancesco (CRD# 6006136) 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 Morgan Stanley, whose website describes him as a member of The 58 Group, a… Read More »
Joe Zheng: JK Financial Advisor Faces $1.9 Million Complaint
Norco, California financial advisor Joe Zheng (CRD# 2318835) recently received an investor complaint alleging that his advice resulted in damages exceeding $1.9 million. Financial Industry Regulatory Authority records show that he is registered as a broker with JK Financial Services.
Chris Calabresi: Charles Schwab Denies $1mm Complaint Against Advisor
A recent investor complaint against Naples, Florida financial advisor Chris Calabresi (CRD# 6554389) alleged that his advice resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Charles Schwab & Company.
James Christopher: LPL Advisor Faces Structured Product Complaint
Long Island City financial advisor James Christopher (CRD# 5761273) 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 and an investment advisor with LPL Financial, doing business as Webster Investments.
Jeremy Maurer: Wells Fargo Advisor Lands $172K Complaint
A recent investor complaint against Roseville, California financial advisor Jeremy Maurer (CRD# 5801701) alleges that his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Wells Fargo Clearing Services and Wells Fargo Advisors, respectively.
Kevin Dauphinee: $100K-$500K Complaint Against Ex-Portsmouth Advisor
Las Vegas financial advisor Kevin Dauphinee (CRD# 5847437) allegedly provided unsuitable investment advice, according to a recent investor complaint. Securities and Exchange Commission records show that the former Portsmouth Financial Services broker is currently registered as an investment advisor with CreativeOne Wealth and is a representative of Gold Standard Wealth Management.
Seth Gansman: Ameriprise Advisor Faces $500K Complaint
Blue Bell, Pennsylvania financial advisor Seth Gansman (CRD# 6003662) 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 Ameriprise Financial Services.
Jason Salmon: $999K Complaint Against Ex-WealthForge Advisor
A recent investor complaint against Torrance, California financial advisor Jason Salmon (CRD# 6081963) alleges that he misrepresented and recommended an unsuitable investment. Financial Industry Regulatory Authority records show that he is registered as a broker with FNEX Capital, having previously been registered with WealthForge Securities.
