Miami, Florida financial advisor Chris Yoda (CRD# 6151977) allegedly made unauthorized trades, according to a recent investor complaint. Financial Industry...
Read MoreRecent Blog Posts
Kit Kessler: FINRA Investigates American Trust Advisor
San Clemente, California financial advisor Kit Kessler (CRD# 4543640) is under investigation for allegedly participating in an unapproved outside business activity. Financial Industry Regulatory Authority records show that he is currently registered as a broker with American Trust Investment Services and an advisor with Asset Strategies and Chicago Capital Management Advisors.
Valence Williams: FINRA Suspends Ex-JH Darbie Advisor
Former New York City financial advisor Valence Williams (CRD# 1389729) was recently suspended in connection with allegations of unauthorized trading. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with JH Darbie & Co., having previously been registered with Aegis Capital.
Justin Ranger: Ameriprise Fires New Orleans Advisor
Metairie, Louisiana financial advisor Justin Ranger (CRD# 5229729) was recently fired by his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Ameriprise Financial Services broker is currently registered as an advisor with Second Line Capital.
Karl Fisher: Equitable Advisor Faces Alternative Investment Complaint
Boulder, Colorado financial advisor Karl Fisher (CRD# 2687222) recently received an investor complaint alleging that he recommended unsuitable alternative investments. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Equitable Advisors.
Ron Smith: $250K Complaint Against Ex-Spartan Advisor
Stamford, Connecticut financial advisor Ron Smith (CRD# 6038062) recently received an investor complaint alleging that his investment advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Sanford C. Bernstein & Company and an investment advisor with AllianceBernstein.
Craig Fredrickson: $499K Complaint Against FutureVest Advisor
A recent investor complaint against Bountiful, Utah financial advisor Craig Fredrickson (CRD# 1202302) alleges that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Berthel Fisher & Company Financial Services, as well as the owner of FutureVest Financial Services.
Andrew Keller: $140K Complaint Against Ex-Intrua Financial Advisor
Houston, Texas financial advisor Andrew Keller (CRD# 4682790) recently received an investor complaint alleging that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is currently registered as a broker with Purshe Kaplan Sterling and an investment advisor with Inscription Capital.
Brian Jones: FINRA Files Action Against Pilot Grove Advisor
Mt. Pleasant, Iowa financial advisor Brian Jones (CRD# 4203098) improperly participated in private securities transactions, according to a pending disciplinary action against him. 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 Pilot Grove Investment Services.
David Wong: Did Integrity Brokerage Advisor Convert Customer Funds?
Los Angeles financial advisor David Wong (CRD# 4689031) allegedly converted funds from customer accounts, according to a recent investigation into his conduct. Financial Industry Regulatory Authority records show that he is currently registered as a broker with Integrity Brokerage and an investment advisor with Integrity Advisors.
Mike Culwell: $444K Complaint Against Irvine Advisor
A recent investor complaint against Irvine, California financial advisor Mike Culwell (CRD# 5989109) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker registered with Emerson Equity and a representative of Irvine Advisors.
