Former Greenwich, Connecticut financial advisor Andrew Mack (CRD# 5932062) was recently sanctioned and suspended in connection with alleged rule violations....
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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.
Jayson Pocius: FINRA Bars Ex-Wells Fargo Advisor
Chicago financial advisor Jayson Pocius (CRD# 6018543) was recently sanctioned in connection with allegations that he used client funds for his personal benefit. Financial Industry Regulatory Authority records show that the former Wells Fargo broker and investment advisor is currently registered with Great Point Capital.
Marion Adams: FINRA Bars Ex-Raymond James Advisor
Former Mobile, Alabama financial advisor Marion Adams (CRD# 1392435) has been sanctioned in connection with alleged misappropriation of client assets. Financial Industry Regulatory Authority records show that the former Raymond James broker was most recently registered with The Jeffrey Matthews Financial Group.
Travis Riggs: $64K Complaint Against Ex-Equitable Advisors Broker
Bentonville, Arkansas financial advisor Travis Riggs (CRD# 4334801) has received multiple investor complaints concerning allegedly high fees. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Equitable Advisors broker is currently registered as an investment advisor with Private Advisor Group.
Diana Palmieri: $99K Complaint Against Vanderbilt Advisor
Woodbury, New York financial advisor Diana Palmieri (CRD# 2889428) recently received an investor complaint alleging that she recommended unsuitable non-traded REITs and BDCs. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with Vanderbilt Securities and Vanderbilt Advisory Services, respectively.
