Former Orlando, Florida financial advisor Richard Routie (CRD# 4379905) was recently sanctioned and suspended in connection with allegations that he...
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14 DecRichard Routie: FINRA Bars Ex-Cetera, Ameriprise Advisor
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13 DecStephen Farmer: $200K Complaint Against Morgan Stanley Advisor
A recent, denied investor complaint against San Francisco financial advisor Stephen Farmer (CRD# 6583874) alleged that he omitted material facts...
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13 DecDavid Levinson: $400K Complaint Against Ex-WestPark Advisor
Lisle, Illinois financial advisor David Levinson (CRD# 705929) recently received an investor complaint alleging that his conduct resulted in six-figure...
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13 DecJosiah Lederman: $500K-$1mm Complaint Against Concorde Advisor
Fort Wayne, Indiana financial advisor Josiah Lederman (CRD# 6871359) allegedly recommended an unsuitable investment, according to a recent investor complaint....
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