Centerville, Ohio financial advisor James Ratliff (CRD# 1669731) was recently fired by his former member firm in connection with alleged...
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James Ratliff: Why Was Advisor Fired by International Assets Advisory?
Centerville, Ohio financial advisor James Ratliff (CRD# 1669731) was recently fired by his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former International Assets Advisory representative is currently registered as a broker with Supreme Alliance.
Malcolm McKay: $500K Complaint Against JW Cole Advisor
Lakewood Ranch, Florida financial advisor Malcolm McKay (CRD# 2605922) 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 and an investment advisor with JW Cole Advisors. Mr. McKay’s BrokerCheck report discloses two investor complaints. The most recent,… Read More »
Eric King: Why Was Advisor Fired by Cambridge and Ameriflex?
Corvallis, Oregon financial advisor Eric King (CRD# 4852517) was fired by two former member firms in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the JW Cole broker and advisor was previously registered with Cambridge Investment Research and The Ameriflex Group.
Robert Borea: FINRA Investigates Stone Wall Advisor
A recent regulatory investigation into Shelton, Connecticut financial advisor Robert Borea (CRD# 7236153) concerned allegations that he violated industry rules. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Money Concepts Capital broker is currently registered as an investment advisor with Stone Wall Money Management.
Matthew Poole: Suitability Complaint Against DFPG Advisor
Rancho Santa Fe, California financial advisor Matthew Poole (CRD# 5074516) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with DFPG Investments and an investment advisor with Dark Horse Advisors.
Enrique Vila: $4.5mm Complaint Against Ex-Morgan Stanley Advisor
Miami, Florida financial advisor Enrique Vila (CRD# 3113492) recently received an investor complaint alleging that his advice resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Bulltick.
Nagib Massoud: PFS Investments Advisor Lands $209K Complaint
A recent investor complaint against Riverside, California financial advisor Nagib Massoud (CRD# 6784059) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with PFS Investments.
Brian Cohen: Ceros Advisor Faces $355K Complaint
A recent investor complaint against Rockville, Maryland financial advisor Brian Cohen (CRD# 4482183) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Ceros Financial Services and an investment advisor with ATCAP Partners, having previously been registered with National Securities Corporation.
Bibi Razack: Osaic Advisor Received Suitability Complaint
A recent, denied investor complaint against Ridgewood, New York financial advisor Bibi Razack (CRD# 3094072) alleged that she recommended unsuitable products. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Osaic Wealth, doing business as Bibi Razack Wealth Management.
Joseph Langlois: $8.5mm Complaint Against DFPG Advisor
San Jose, California financial advisor Joseph Langlois (CRD# 4216281) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with DFPG Investments and an investment advisor with Diversify Advisory Services.
