Murray, Utah financial advisor Ray DeWitt (CRD# 2894063) allegedly violated federal securities law, according to a recent investor complaint. Financial...
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Thomas Steele: $175K Complaint Against Morgan Stanley Advisor
Atlanta, Georgia financial advisor Thomas Steele (CRD# 6131730) 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.
Francisco Escalera: Edward Jones Advisor Lands ETF Complaint
Midland, Texas financial advisor Francisco Escalera (CRD# 6242161) 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 Edward Jones.
Vincenzo Garganese: $139K Complaint Against Vis Wealth Advisor
Portland, Maine financial advisor Vincenzo Garganese (CRD# 6760844) recently received an investor complaint alleging that his advice resulted in damages exceeding $100,000. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with MassMutual, doing business as Vis Wealth Partners.
Hiroshi Mizutani: $200K Bond Complaint Against WIS Advisor
Pasadena, California financial advisor Hiroshi Mizutani (CRD# 3259903) recently received an investor complaint alleging 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 Western International Securities.
Aaron Wilkinson: Edward Jones Advisor Receives $173K Complaint
A recent investor complaint against Goshen, Indiana financial advisor Aaron Wilkinson (CRD# 2756359) 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 Edward Jones.
Barry Marks: Did Merrill Advisor Misappropriate Funds?
Chicago financial advisor Barry Marks (CRD# 704929) allegedly misappropriated customer funds, 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.
Nancy Biddle: $100K Complaint Against Sundial Advisor
St. Pete Beach, Florida financial advisor Nancy Biddle (CRD# 2134532) recently received an investor complaint alleging 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 Osaic Wealth, and that she is the owner of Sundial Financial Group.
Randy Liggitt: Janney Advisor Fired by Truist
Columbia, South Carolina financial advisor Randy Liggitt (CRD# 2204249) was recently fired by a former broker-dealer firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Truist Investment Services broker is currently registered as a broker and an investment advisor with Janney Montgomery Scott.
Jonmark Richardson: Financial Partners Advisor Faces $219K Complaint
Glendale, Arizona financial advisor Jonmark Richardson (CRD# 4919603) recently received an investor complaint alleging that his conduct resulted in damages exceeding $200,000. Securities and Exchange Commission records show that he is registered as an investment advisor with Valhalla Advisors and a life insurance agent with Financial Partners of America.
Santiago Torres: Did Truist Advisor Misappropriate Funds?
Wyomissing, Pennsylvania financial advisor Santiago Torres (CRD# 5644622) recently received an investor complaint alleging that he misappropriated customer funds. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Truist Investment Services and Truist Advisory Services, respectively.
