A recently published news release describes an investigation into allegations that broker-dealer firm Forge Securities (CRD# 134596) played a role...
Read MoreCategory Archives: Uncategorized
Matt Haverty: RBC Advisor Lands $750K Complaint
Leawood, Kansas financial advisor Matt Haverty (CRD# 4618183) 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 RBC Capital Markets.
Andrew Gentiluomo: $200K Complaint Against Equity Services Advisor
A recent investor complaint against Roanoke, Virginia financial advisor Andrew Gentiluomo (CRD# 4975462) alleges that he committed fraud in connection with certain investments. Financial Industry Regulatory Authority records show that he is registered as a broker with Equity Services and an investment advisor with ESI Financial Advisors, doing business as Gentiluomo FA.
Beatty McDonald: McDonald Partners Advisor Faces FINRA Sanction
Cleveland, Ohio financial advisor Beatty McDonald (CRD# 5126644) allegedly recommended an unsuitable private placement, according to a pending disciplinary action. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor registered with McDonald Partners.
Ronnie Dumag: FINRA Bars Ex-PFS Advisor
Former Sacramento financial advisor Ronnie Dumag (CRD# 4783585) was recently sanctioned in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former PFS Investments broker is not currently registered with any broker-dealer or investment advisory firm.
William & Jonathan Harvey: Janney Advisors Land 6-Figure Complaint
Doylestown, Pennsylvania financial advisor William Harvey (CRD# 2398782) and Jonathan Harvey (CRD# 4558464) recently received an investor complaint alleging that they recommended unsuitable investments. Financial Industry Regulatory Authority records show that each is registered as a broker and an investment advisor with Janney Montgomery Scott.
Nolan Pendleton & Ben Yim: Generational Advisors Face $115K Complaint
Georgia financial advisor Nolan Pendleton (CRD# 5350768) and Ben Yim (CRD# 5835533) recently received an investor complaint that settled for more than $100,000. Financial Industry Regulatory Authority records show that they are both registered with NYLife Securities, doing business as Generational Financial Partners.
Ira Bauman: Raymond James Advisor Receives $220K Complaint
New York City financial advisor Ira Bauman (CRD# 1079115) 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 & Associates, whose website shows that he is a representative of the practice… Read More »
Scott Sheehan: DFPG Advisor Lands $475K Complaint
A recent investor complaint against Cornwall-on-Hudson, New York financial advisor Scott Sheehan (CRD# 2328614) alleges that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with DFPG Investments, and that he is the Managing Partner of 1031 Investment Services.
Mark Carter: $500K Complaint Against Ex-Pruco Advisor
Former Charlotte, North Carolina financial advisor Mark Carter (CRD# 6387371) allegedly made unauthorized trades, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he was registered as a broker with Pruco Securities, doing business as Carter Financial Group, until he resigned from the firm in connection with alleged rule violations.
Louis Wargo: Osaic Advisor Receives $137K Complaint
Brecksville, Ohio financial advisor Louis Wargo (CRD# 1416101) has received multiple investor complaints alleging that he recommended unsuitable alternative investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Osaic Wealth.
