A recent, withdrawn investor complaint against Ogden, Utah financial advisor Steve Story (CRD# 2574091) alleges that he forged a customer’s...
Read MoreRecent Blog Posts
Peter Glowacki: FINRA Suspends TCFG, Ex-RBC Advisor
Brookfield, Wisconsin financial advisor Peter Glowacki (CRD# 1180975) was recently sanctioned in connection with allegations that he exercised discretion without authorization. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former RBC Capital Markets broker is now registered with TCFG Investment Advisors. A Letter of Acceptance, Waiver, and Consent (No…. Read More »
Brent Schmidt: FINRA Suspends Harvest Financial Advisor
Delano, Minnesota financial advisor Brent Schmidt (CRD# 3093473) allegedly permitted a business partner to falsify customer records, according to a regulatory sanction. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Cetera, doing business as Harvest Financial Services.
Pedro Ostia-Vega: Raymond James Advisor Suspended
A recent sanction against Oakville, Ontario financial advisor Pedro Ostia-Vega (CRD# 6181372) alleges that he falsified customer signatures. Financial Industry Regulatory Authority records show that he is registered as a broker with Raymond James.
Chris Laffey: $1.6mm Complaint Against Alexander Capital Advisor
Red Bank, New Jersey financial advisor Chris Laffey (CRD# 859962) 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 Alexander Capital, having previously been registered with Ladenburg Thalmann & Company.
Marc Harrison: FINRA Investigates Reid & Rudiger Advisor
New York City financial advisor Marc Harrison (CRD# 1605568) allegedly violated industry rules, according to an investigation into his conduct. Financial Industry Regulatory Authority records show that he is registered as a broker with Reid & Rudiger, whose website describes him as a co-founder of the firm.
Robert DeChick: Courtland/Walker Advisor Faces Suitability Complaints
A recent investor complaint against Clemont, Florida financial advisor Robert DeChick (CRD# 4152582) alleges that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with DH Hill, doing business as Courtland/Walker Financial Group.
JP Gobic: Did Morgan Stanley Advisor Misrepresent Investments?
Sarasota, Florida financial advisor JP Gobic (CRD# 4380699) allegedly misrepresented an alternative investment strategy, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Morgan Stanley.
Victor Torres: $150K Complaint Against Equitable Advisor
Fort Lauderdale, Florida financial advisor Victor Torres (CRD# 5919902) has received multiple investor complaints alleging that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker with Equitable Advisors.
Trey Brown: Northwestern Mutual Advisor Faces Complaint
Frisco, Texas financial advisor Trey Brown (CRD# 6170291) 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 with Northwestern Mutual Investment Services.
Russ Fieger: $325K Complaint Against Ex-Crown Capital Advisor
Overland Park, Kansas financial advisor Russ Fieger (CRD# 4122326) recently received an investor complaint alleging that he recommended an unsuitable alternative investment. Financial Industry Regulatory Authority records show that he is registered as a broker with Colorado Financial Service Corporation and an investment advisor with Cornerstone Securities.
