Chicago financial advisor David Gaffney (CRD# 3004164) allegedly recommended unsuitable REITs, according to a recent investor complaint. Financial Industry Regulatory...
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Rodrigue Lors: $150K Complaint Against Wilmington Capital Advisor
Westport, New York financial advisor Rodrigue Lors (CRD# 4379214) recently received an investor complaint alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Wilmington Capital Securities, having previously been registered with National Securities Corporation.
Barry Dow: 6-Figure Complaint Against Dempsey Advisor
A recent investor complaint against Rome, Georgia financial advisor Barry Dow (CRD# 4827935) alleges that he provided unsuitable investment advice. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Dempsey Lord Smith.
Joel Parady, ReJoyce Advisor, Barred over Fraud Allegations
Carmel, Indiana financial advisor Joel Parady (CRD# 6938873) was recently terminated by Howard Bailey Securities in connection with an enforcement action against him. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that he is currently registered as an investment advisor with ReJoyce Wealth Management.
Phil Jones: $5 Million Complaint Against Merrill Lynch Advisor
Houston financial advisor Phil Jones (CRD# 2445213) recently received an investor complaint alleging that his advice resulted in losses. Records maintained by the Financial Industry Regulatory Authority indicate that he is currently registered as a broker and an investment advisor with Merrill Lynch.
Brandon Asher: Merrill Lynch Advisor Faces Complaint
A recent investor complaint against Westlake Village, California financial advisor Brandon Asher (CRD# 5924831) alleges that he made unsuitable recommendations. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Merrill Lynch, whose website describes him as a member of the Miller Asher Group.
Brad Frisk: Legacy Wealth Advisor Lands Investor Complaint
Sacramento financial advisor Brad Frisk (CRD# 5957389) allegedly invested funds without authorization, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Raymond James Financial Services, doing business as Legacy Wealth Management. He was previously a representative of Wells Fargo Advisors.
Michael Rudio: Suitability Complaint Against Ex-LPL Advisor
A recent investor complaint against Atlanta financial advisor Michael Rudio (CRD# 6322313) alleges that his advice resulted in losses. Financial Industry Regulatory Authority records show that he is registered as a broker with Purshe Kaplan Sterling Investments and an investment advisor with Phase Line Capital.
Dave Taddeo: $124K Complaint Against Summit Wealth Advisor
La Mesa, California financial Dave Taddeo (CRD# 1163829) recently received an investor complaint alleging that his investment advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with LPL Financial, doing business as Summit Wealth Solutions.
Keith Curtis: Aegis Advisor Barred by FINRA
Former Tampa, Florida financial advisor Keith Curtis (CRD# 4798755) was recently sanctioned by FINRA and barred in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker and an investment advisor with Aegis Capital.
Tom Paine: Suitability Complaint Against Paine Financial Advisor
Arroyo Grande, California financial advisor Tom Paine (CRD# 2285372) recently received an investor complaint alleging he recommended unsuitable alternative investments. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Centaurus Financial, doing business as Paine Financial Services.
