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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Gregory Whelan: Merrill Lynch Advisor’s Client Files $2mm Complaint
A recent investor complaint alleges that Fort Lauderdale financial advisor Gregory Whelan (CRD# 5247677) made investment recommendations that resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch, where he is a member of MWD Wealth Management Group.
Tyson Allred: $1.5mm Complaint Against Members Financial Advisor
Portland, Oregon financial advisor Tyson Allred (CRD# 3081010) recently received an investor complaint alleging that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with LPL Financial, doing business as Members Financial Services.
John Mateyko: IDEX Advisor Faces $1 Million Bond Complaint
Serenbe, Georgia financial advisor John Mateyko (CRD# 3275621) allegedly recommended unsuitable corporate bonds and structured notes, according to recent investor complaints. Financial Industry Regulatory Authority records show that he is registered as a broker with Peachcap Securities and an investment advisor with Peachcap Tax & Advisory Services. He is also a representative of IDEX… Read More »
Hagin Richeson: $3mm Complaint Against Corinthian Advisor
Multiple investor complaints against Clearwater, Florida financial advisor Hagin Richeson (CRD# 5380166) allege that his conduct resulted in multimillion-dollar damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Corinthian Partners.
Lee Vaughan: Raymond James Fires COVA Wealth Advisor
Brentwood, Tennessee financial advisor Lee Vaughan (CRD# 3162268) was recently fired from Raymond James Financial Services in connection with alleged misconduct. Financial Industry Regulatory Authority records show that he is now registered as a broker and an investment advisor with LPL Financial, doing business as COVA Wealth Management.
Tony Szymborski NettWorth Advisor Received $211K Complaint
A recent, denied investor complaint against Wauwatosa, Wisconsin financial advisor Tony Szymborski (CRD# 4131253) alleged that his advice resulted in damages exceeding $200,000. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Cambridge Investment Research, doing business as NettWorth Financial Group.
Ashley Woodard: $999K Complaint Against Ex-Voya Advisor
Former Greenville, South Carolina financial advisor Ashley Woodard (CRD# 4703144) has received multiple investor complaints alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he was previously registered as a broker with NYLife Securities and Voya Financial Advisors.
Austin Arata: Kinecta Advisor Receives $340K Complaint
Torrance, California financial advisor Austin Arata (CRD# 6448739) allegedly made unauthorized transactions, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, doing business as Kinecta Financial & Insurance Services.
David Goldstein: WealthPlan Advisor Lands GWG L Bond Complaint
Rancho Mirage, California financial advisor David Goldstein (CRD# 1718066) recently received an investor complaint in connection with an investment in GWG L bonds. Financial Industry Regulatory Authority records show that he is registered as a broker with Securities America and an investment advisor with WealthPlan Partners.
Chris Sivley: Horizon Group Advisor Faces $100K-$500K Complaint
Ponte Vedra Beach, Florida financial advisor Chris Sivley (CRD# 3070468) 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 Raymond James Financial Services, doing business as The Horizon Group.
