Torrance, California financial advisor Rod Uy (CRD# 4945992) allegedly made misrepresentations of material facts, according to a recent investor complaint....
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Len Hirsh: SEIA, Ex-Osaic Advisor Lands $600K Complaint
A recent investor complaint against Los Angeles financial advisor Len Hirsch (CRD# 4216156) alleges that his investment strategies resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Signature Estate Securities and an investment advisor with Signature Estate & Investment Advisors.
SEC Fraud Charges Against South Bay Acquisitions, John Matson
South Bay Acquisitions and its principal John Matson allegedly defrauded investors in a Ponzi scheme, according to SEC charges filed in July. Filed in the United States District Court for the Southern District of California, the SEC’s complaint alleges that Matson (CRD# 1796541) and his company “made unregistered offerings of securities and raised more… Read More »
SEC Settles GWG L Bond Charges Against Geoffrey Wolterstorff, LifeMark
The Securities and Exchange Commission (SEC) announced that it settled charges against LifeMark Securities and its advisor Geoffrey Wolterstorff (CRD# 2711805) relating to the sale of GWG L bonds. The SEC administrative proceeding, released in July, found that both the firm and Mr. Wolterstorff “failed to comply with Regulation Best Interest by recommending L… Read More »
Farzad Raufi: $120K Complaint Against Former Merrill Advisor
San Jose financial advisor Farzad Raufi (CRD# 6943330) 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 Fidelity Brokerage Services and an investment advisor with Fidelity Personal and Workplace Advisors, having previously been registered with Merrill… Read More »
Sean McCabe: Network 1 Advisor Faces Negligence Complaint
Hauppage, New York financial advisor Sean McCabe (CRD# 5479643) has received multiple investor complaints alleging that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Network 1 Financial Services, having previously been registered with Worden Capital Management.
Travis Salley: Zero Day Advisor Fired by EmpiriKal Partners
West Point, New York financial advisor Travis Salley (CRD# 6523971) was recently fired by a former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former EmpiriKal Partners broker is currently registered as an investment advisor with Zero Day Capital Enterprises.
Rob Eades: Capital Investment Group Advisor Discloses GWG Complaint
Easley, South Carolina financial advisor Rob Eades (CRD# 2357818) allegedly recommended unsuitable investments in GWG L-bonds, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Capital Investment Group and an advisor with Capital Investment Advisory Services.
Neil Barney: AllState Advisor Receives $200K Complaint
Draper, Utah financial advisor Neil Barney (CRD# 4265082) allegedly omitted information regarding an investment, resulting in damages, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with AllState Financial Services.
Chris Stocks: FINRA Investigates Prospera/Stocks Wealth Advisor
Paradise Valley, Arizona financial advisor Chris Stocks (CRD# 2600346) is under investigation in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Prospera Financial Services, and that he is the founder of Stocks Wealth Management. Mr. Stocks’ BrokerCheck report discloses… Read More »
Ryan Foster: $240K Complaint Against Ex-InterCarolina Advisor
Pleasant Garden, North Carolina financial advisor Ryan Foster (CRD# 5414840) has received an investor complaint alleging that his advice resulted in damages exceeding $200,000. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former InterCarolina Financial Services broker is currently registered as an investment advisor with Crossroads Financial Services.
