A recent investor complaint against Austin, Texas financial advisor Drew Freides (CRD# 4262911) alleges that his conduct resulted in damages....
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Ozzie Ramos: $80K Bond Complaint Against WIS Advisor
Westlake Village, California financial advisor Ozzie Ramos (CRD# 2572345) recently received an investor complaint alleging that his advice resulted in losses. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Western International Securities, having previously been registered with Citigroup Global Markets.
Bob Westbrook: Cetera Advisor Faces Suitability Complaint
Scottsdale, Arizona financial advisor Bob Westbrook (CRD# 1189454) recently received an investor complaint alleging that he made unsuitable investment recommendations. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Cetera Advisor Networks, as well as a representative of Westbrook Financial Services.
Michael Sandberg: Aegis Advisor Fired by Ameriprise
Boca Raton financial advisor Michael Sandberg (CRD# 1949867) was recently fired by Ameriprise Financial Services in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is now registered as a broker and an investment advisor with Aegis Capital Corporation.
Richard Michalski: Laidlaw Advisor Faces $399K Complaint
New York City financial advisor Richard Michalski (CRD# 4588706) recently received an investor complaint alleging that his conduct resulted in damages exceeding $300,000. Financial Industry Regulatory Authority records show that he is registered as a broker with Laidlaw & Company, and that he has previously been sanctioned by the Securities and Exchange Commission.
Brandon Capps: Velocity Wealth Advisor Lands $750K Complaint
A recent investor complaint against Claremont, California financial advisor Brandon Capps (CRD# 4990930) alleges 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 Park Avenue Securities, doing business as Velocity Wealth Management.
Peter Waldron: $1mm Complaint Against Wells Fargo Advisor
A recent investor complaint against Irvine, California financial advisor Peter Waldron (CRD# 4230510) alleges that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Wells Fargo Clearing Services.
Clifford Reid: FINRA Investigates Reid & Rudiger Advisor
New York City financial advisor Clifford Reid (CRD# 1905920) is under investigation for allegedly excessive trading. Financial Industry Regulatory Authority records show that he is registered as a broker with Reid & Rudiger, and that he has received multiple investor complaints alleging that he made excessive trades.
Jason Doneth: Ameriprise Advisors Faces $100K Complaint
Salem, Oregon financial advisor Jason Doneth (CRD# 4696330) recently received an investor complaint alleging that he recommended an unsuitable annuity. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Ameriprise Financial Services.
Sanjay Mathur: Suitability Complaint Against RBC Advisor
A recent investor complaint against Irvine, California financial advisor Sanjay Mathur (CRD# 1144243) alleges that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with RBC Capital Markets.
Jim Ptacek: Why Did LPL Fire Ta-Check Advisor?
Strongsville, Ohio financial advisor Jim Ptacek (CRD# 1959049) was recently terminated by his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former LPL Financial broker is currently registered as an investment advisor with Ta-Check Financial.
