A recently published news release describes an investigation into allegations that broker-dealer firm Forge Securities (CRD# 134596) played a role...
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Paul Raehpour: Merrill Lynch Advisor Faces ETF Allegations
A recent investor complaint against McKinney, Texas financial advisor Paul Raehpour (CRD# 4508598) alleges that she made unauthorized exchange-traded fund transactions. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch.
Ron Amir: Clarity Capital Advisor Received Bond Complaint
Newport Beach, California financial advisor Ron Amir (CRD# 4565409) allegedly recommended an unsuitable investment, according to a recent, denied investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with American Trust Investment Services and an advisor with Clarity Capital Partners.
Sam Barber: $80K Complaint Against Chittenden Financial Advisor
Naugatuck, Connecticut financial advisor Sam Barber (CRD# 4750380) 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 LifeMark Securities Corporation, doing business as Chittenden Financial Services.
Jennifer Yoon: $200K Complaint Against Morgan Stanley Advisor
Menlo Park, California financial advisor Jennifer Yoon (CRD# 6864788) 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 and an investment advisor with Morgan Stanley, having previously been registered with Merrill Lynch.
Wally Davis: Oppenheimer Advisor Denies Trading Complaint
New York City financial advisor Wally Davis (CRD# 1532144) made unauthorized trades, according to a recent, denied investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Oppenheimer & Company, and that he is also registered with the firm’s office in Westport, Connecticut.
Chris Jacobi: $150K Complaint Against Ameriprise Advisor
Pensacola, Florida financial advisor Chris Jacobi (CRD# 1648679) recently received an investor complaint alleged that his investment advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Ameriprise Financial Services.
Katherine Carter: American Century Advisor Lands $700K Complaint
Kansas City, Missouri financial advisor Katherine Carter (CRD# 2224156) allegedly made an unauthorized transaction, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with American Century Investment Services.
Bernard Yip: $108K Complaint Against First Hawaiian Advisor
Honolulu financial advisor Bernard Yip (CRD# 2391643) recently received an investor complaint alleging that his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Raymond James Financial Services, and that he is a representative of First Hawaiian Advisors.
Robert Snider: MassMutual Advisor Receives Churning Complaint
A recent investor complaint against Vienna, West Virginia financial advisor Robert Snider (CRD# 2417319) alleges that he churned investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with MML Investors Services, also known as MassMutual.
Ron Appler: Rocky Mountain Advisor Lands $300K REIT Complaint
Sykesville, Georgia financial advisor Ron Appler (CRD# 2499039) allegedly recommended unsuitable BDC and REIT investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Independent Financial Group, doing business as Rocky Mountain High Financial Services.
