Los Alamitos, California financial advisor Fariba Madison (CRD# 1178259) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial...
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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.
Robert Omohundro: LCORE Advisor Lands Suitability Complaint
Atlanta financial advisor Robert Omohundro (CRD# 2415942) has received multiple investor complaints alleging that he recommended unsuitable investments, resulting in losses. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Alexander Capital, doing business as LCORE Wealth Management.
Lucy Cueller: Suitability Complaint Against Northpoint Advisor
Warrenville, Illinois financial advisor Lucy Cueller (CRD# 3089802) recently received an investor complaint alleging that she made unsuitable investment recommendations. Financial Industry Regulatory Authority records show that she is currently registered as a broker and an investment advisor with Osaic Wealth, doing business as Northpoint Financial Group.
Paul Trimber: FINRA Bars Ex-Wells Fargo Advisor
Former Alexandria, Virginia financial advisor Paul Trimber (CRD# 2765260) has been sanctioned and barred in connection with allegations that he executed unauthorized transfers of client funds. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Wells Fargo Clearing Services.
Craig Nomberg: $500K SOAEX Complaint Against Ex-David Lerner Advisor
A recent investor complaint against Boca Raton, Florida financial advisor Craig Nomberg (CRD# 4293515) alleges that he recommended an unsuitable investment in SOAEX. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Wells Fargo Clearing Services, having previously been registered with David Lerner Associates.
Mike DePaul: Newport Wealth Advisor Receives 6-Figure Complaint
Newport Beach financial advisor Mike DePaul (CRD# 4540570) recently received an investor complaint alleging that his advice led to six-figure losses. 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.
Stevan Hoffman: Oil & Gas Complaint Against Cambridge Advisor
Danville, California financial advisor Stevan Hoffman (CRD# 4552883) allegedly recommended an unsuitable investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Cambridge Investment Research.
Mark Bloom: Legacy Capital Advisor Faces $100K Complaint
A recent investor complaint against Atlanta, Georgia financial advisor Mark Bloom (CRD# 6933619) alleges that his conduct led to six-figure damages. Financial Industry Regulatory Authority records show that he is a broker with Avantax Investment Services and an investment advisor with Avantax Advisory Services, doing business as Legacy Capital Advisors.
