Former New York City financial advisor Sung Moo Cho (CRD# 5015906) was recently sanctioned and barred in connection with misappropriation...
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Jeff Bailey: FINRA Investigates Bailey & Company Advisor
Brentwood, Tennessee financial advisor Jeff Bailey (CRD# 3171436) is under investigation in connection with an alleged failure to disclose private securities transactions. Financial Industry Regulatory Authority records show that he is registered as a broker with Bailey & Company, having previously been registered with Stillpoint Capital.
Curt Stauffer: Seven Summits Advisor Lands $212K Complaint
Lancaster, Pennsylvania financial advisor Curt Stauffer (CRD# 2615431) recently received an investor complaint alleging that he recommended unsuitable investments. Securities and Exchange Commission records show that he is an investment advisor registered with CS Planning and a managing member of Seven Summits Capital.
Pragnesh Bhatt: Saavi Financial Advisor Faces $615K Complaint
Bethesda, Maryland financial advisor Pragnesh Bhatt (CRD# 5769860) recently received an investor complaint alleging that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with NYLife Securities, doing business as Saavi Financial Group.
Rob Weis: Ampersand Partners Advisor Resigned from Wells Fargo
Lake Forest, Illinois financial advisor Rob Weis (CRD# 2421439) resigned from Wells Fargo in connection with allegations of misconduct. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Ampersand Partners. His website shows that he is a representative of CenterCoast Private Wealth, which offers securities… Read More »
Randy Moshtael: $400K Complaint Against Oppenheimer Advisor
Los Angeles financial advisor Randy Moshtael (CRD# 1036474) 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 Oppenheimer & Company.
Matt Mitchell: BOK Financial Advisor Faces $300K Complaint
Tulsa, Oklahoma financial advisor Matt Mitchell (CRD# 4908737) allegedly failed to disclose the risks of an 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 BOK Financial Securities.
Leigh Allen: LPL Advisor Allegedly Made Unauthorized Sale
Battle Ground, Washington financial advisor Leigh Allen (CRD# 5711971) recently received an investor complaint alleging that he made an unauthorized trade. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with LPL Financial, doing business as Excell Wealth Partners.
Kyle Lindner: $142K Complaint Against Ex-State Farm Advisor
A recent investor complaint alleges that former Katy, Texas financial advisor Kyle Lindner (CRD# 5421697) made a recommendation that resulted in losses exceeding $100,000. Financial Industry Regulatory Authority records show that he was previously registered as a broker with State Farm VP Management Corporation.
Sherwin Sargeant: FINRA Bars PlanMember Advisor After Crypto Probe
Former Orlando, Florida financial advisor Sherwin Sargeant (CRD# 5096798) has been barred by FINRA in connection with allegations of undisclosed outside business activities. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with PlanMember Securities Corporation.
Jeremy Burch: Wells Fargo Advisor Resigns, Joins Merrill
Miami, Florida financial advisor Jeremy Burch (CRD# 4073551) recently resigned from Wells Fargo while under review for concerns involving his conduct. Financial Industry Regulatory Authority records show that he is now registered as a broker and an investment advisor with Merrill Lynch.
