Former Cobleskill, New York financial advisor Meredith Webber (CRD# 2435263) was recently named in a pending enforcement action. Financial Industry...
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David Kaiser: Financial Planning Advisor Lands Investor Complaint
Cotopaxi, Colorado financial advisor David Kaiser (CRD# 2461995) recently received an investor complaint alleging that his recommendations deprived his customers of the ability to make reasonable returns. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Cambridge Investment Research, as well as a representative of Financial Planning… Read More »
Brad Fath: Oil & Gas Complaint Against Cambridge Advisor
Big Rapids, Michigan financial advisor Brad Fath (CRD# 2632194) allegedly recommended an investment for the purpose of generating high commissions, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Cambridge Investment Research, as well as a representative of Lerner, Csernai and… Read More »
James Studinger: JPStudinger Advisor Faces Suitability Complaint
Bloomfield Hills, Michigan financial advisor James Studinger (CRD# 2725496) recently received an investor complaint alleging that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker with Kestra Investment Services and an advisor with Kestra Advisory Services, doing business as JPStudinger Group.
Mitchell Walk: Suitability Complaint Against Kestra Advisor
Longwood, Florida financial advisor Mitchell Walk (CRD# 3195375) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is currently registered as a broker with Kestra Investment Services and an advisor with Kestra Advisory Services, doing business as Retirement Wealth Specialists.
Ismael Reyes-Retana: $106K Complaint Against LPL Advisor
Laredo, Texas financial advisor Ismael Reyes-Retana (CRD# 3250007) recently received an investor complaint alleging that a variable annuity investment led to six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, doing business as IBC Investment Services.
Marcel Pahmer: Newport Wealth Advisor Lands $300K Complaint
A recent investor complaint against Newport Beach, California financial advisor Marcel Pahmer (CRD# 4565391) alleges that he recommended investments that resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is currently registered as a broker with Centaurus Financial and an investment advisor with Newport Wealth Advisors.
Jacob McKissack: $220 Complaint Against Edward Jones Advisor
Mt. Juliet, Tennessee financial advisor Jacob McKissack (CRD# 6168732) recently received an investor complaint alleging that he stole funds from a client. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Edward Jones.
Christopher Watkins: FINRA Suspends WMW Management Advisor
Farmington, Utah financial advisor Christopher Watkins (CRD# 2376887) was recently sanctioned and suspended in connection with allegations that he charged unfair commissions. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Watkins Financial Services broker is currently registered as an investment advisor with WMW Management.
Juan Sosa: FINRA Bars Ex-SagePoint Advisor Over Conversion Allegations
Former Studio City, California financial advisor Juan Sosa (CRD# 4059846) has been barred in connection with allegations that he converted customer funds for his own personal use. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Independent Financial Group, doing business as Sosa Financial Strategies
Joe Cucinotta: FINRA Suspends Independent Financial Advisor
Radnor, Pennsylvania financial advisor Joe Cucinotta (CRD# 3272604) was recently suspended in connection with allegations that he falsified customer signatures. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Centaurus Financial, doing business as Independent Financial Advisors.
