A recent, denied investor complaint against San Francisco financial advisor Stephen Farmer (CRD# 6583874) alleged that he omitted material facts...
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Thomas Rohn: $100K GWG Complaint Against Moloney Advisor
Indianapolis, Indiana financial advisor Thomas Rohn (CRD# 1306805) allegedly recommended an unsuitable investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Moloney Securities, doing business as Planned Investment Company.
Matthew Copley: $688K Complaint Against Copley Financial Advisor
San Diego, California financial advisor Matthew Copley (CRD# 6247665) has received multiple investor complaints alleging that he violated industry rules and regulations. Financial Industry Regulatory Authority records show that he is registered as a broker with Emerson Equity and an investment advisor with Copley Financial Group.
Raphael Fernando: REIT Complaint Against Cetera, Ex-BOK Advisor
Houston, Texas financial advisor Raphael Fernando (CRD# 4469669) has received more than 60 investor complaints alleging that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Cetera Investment Services and Cetera Investment Advisers, respectively, having previously been registered with BOK… Read More »
Soyoung Yom: NYLife Advisor Faces Investor Complaint
Los Angeles, California financial advisor Soyoung Yom (CRD# 4243462) recently received an investor complaint alleging that her conduct resulted in damages. Financial Industry Regulatory Authority records show that she is registered as a broker with NYLife Securities.
Joe Gamez: Raymond James Advisor Barred over Alleged Misappropriation
Former San Antonio financial advisor Joe Gamez (CRD# 4292479) was recently sanctioned and barred in connection with the alleged misuse of customer funds. Financial Industry Regulatory Authority records show that he was most recently registered as a broker and an investment advisor with Raymond James.
David Franklin: Integral Wealth Advisor Barred by FINRA
Former New York City financial advisor David Franklin (CRD# 5236215) was recently sanctioned and barred in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Integral Wealth Securities.
Roger Turcotte: Cetera Advisor Faced Unauthorized Trading Complaint
A recent, closed investor complaint against Tampa, Florida financial advisor Roger Turcotte (CRD# 1180997) alleged that he made unauthorized trades. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Cetera Investment Services and Cetera Investment Advisors, respectively.
Jon Toerner: Why Was Stifel Advisor Fired by Fidelity?
Austin, Texas financial advisor Jon Toerner (CRD# 7330298) was recently fired by his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Fidelity Brokerage Services representative is registered as a broker and an investment advisor with Stifel Nicolaus & Company.
Christy Lambert: Bridge Wealth Advisor Faced Bond Complaint
A recent, denied investor complaint against Columbus, Ohio financial advisor Christy Lambert (CRD# 1919326) alleged that her advice resulted in losses. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Wells Fargo Advisors.
Bert Mills: $180K Complaint Against Edward Jones Advisor
Mesa, Arizona financial advisor Bert Mills (CRD# 5614645) 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 and an investment advisor with Edward Jones.
