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
Rosaline Alam: FINRA Bars Former Pruco Advisor
Former Claremont, California financial advisor Rosaline Alam (CRD# 5742202) was recently barred in connection with alleged rule violations. Financial Industry Regulatory Authority records show that she was most recently registered as a broker with Lincoln Investment, having previously been registered with Pruco Securities.
Tom Moran: $1 Million Complaint Against Wells Fargo Advisor
A recent investor complaint against Naples, Florida financial advisor Tom Moran (CRD# 709062) alleges that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Wells Fargo broker is currently registered as an investment advisor with Moran Wealth Management.
Craig Bonn: Harley Capital Advisor Faces $500K Complaint
Westport, Connecticut financial advisor Craig Bonn (CRD# 2280460) allegedly committed sales practice violations, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker registered with The Harley Capital, having previously been registered with National Securities Corporation.
Jayson Decandia: MassMutual Denies $100K Complaint Against Advisor
Fairfield, New Jersey financial advisor Jayson Decandia (CRD# 5090632) recently received an investor complaint alleging that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with MML Investors Services, or MassMutual.
James Paige: $1mm-$2mm Complaint Against Wells Fargo Advisor
Vero Beach, Florida financial advisor James Page (CRD# 1726609) has received multiple investor complaints alleging that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker Wells Fargo Clearing Services and an investment advisor with Wells Fargo Advisors.
John Eggleton: Foster Financial Advisor Faces $450K REIT Complaint
Dallas, Texas financial advisor John Eggleton (CRD# 4954717) recently received an investor complaint alleging that he recommended an unsuitable investment. Financial Industry Regulatory Authority records show that he is registered as a broker with Ameritas Investment Company and an investment advisor with Ameritas Advisory Services, doing business as Foster Financial Group.
Pamela McWhorter: Newbridge Advisor Fired by Edward Jones
Suffolk, Virginia financial advisor Pamela McWhorter (CRD# 1137851) was recently fired by Edward Jones in connection with allegations that she violated firm policies and procedures. Financial Industry Regulatory Authority records show that she is now registered as a broker with Newbridge Securities Corporation and an investment advisor with Newbridge Financial Services Group.
Don Meccia: Morgan Stanley Advisor Faces Trading Complaint
A recent investor complaint against Santa Fe financial advisor Don Meccia (CRD# 1433435) alleges that he made unauthorized transactions. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Morgan Stanley, having previously been registered with Merrill Lynch.
Kyle Kim: Leaders Group Advisor Fired by LPL
Littleton, Colorado financial advisor Kyle Kim (CRD# 2446395) was recently fired from LPL Financial in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is now registered as a broker with The Leaders Group and an investment advisor with The Private Client Advisory Group.
Mike Wetrich: Regulators Censure Great Plains Wealth Advisor
Sioux Falls, South Dakota financial advisor Mike Wetrich (CRD# 2842343) was recently censured in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with UBS Financial Services, whose website describes him as a Senior Vice President with Great Plains Wealth Management.
