A recent investor complaint against Austin, Texas financial advisor Drew Freides (CRD# 4262911) alleges that his conduct resulted in damages....
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Jack Bailey: FINRA Investigates Bailey & Co. Advisor
Brentwood, Tennessee financial advisor Jack Bailey (CRD# 5708044) was recently investigated in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is registered as a broker with Bailey & Company Securities.
Johnathan Sawaged: Quint Advisor Fired by B. Riley
Poughkeepsie, New York financial advisor Johnathan Sawaged (CRD# 7061837) was recently terminated from a former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former B. Riley Wealth Management broker is currently registered as an investment advisor with Quint Investments and Insurance.
Kristopher Aubrey: CS Planning Advisor Fired by Edward Jones
Lafayette, Louisiana financial advisor Kristopher Aubrey (CRD# 6995271) was fired 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 Edward Jones broker is currently registered as an investment advisor with CS Planning Corporation.
Greg Ritter: $135K Complaint Against Family Financial Advisor
Delaware, Ohio financial advisor Greg Ritter (CRD# 3087358) allegedly violated securities industry rules and regulations, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Emerson Equity, doing business as Family Financial of Central Ohio.
Andy Huang: Glendale Securities Advisor Faces $580K Complaint
Brooklyn, New York financial advisor Andy Huang (CRD# 3268328) recently received an investor complaint that alleges conversion of funds and unjust enrichment. Financial Industry Regulatory Authority records show that he is registered as a broker with Glendale Securities and that he has previously been sanctioned by FINRA.
Patrick Moriarty: Aegis Advisor Fired by UBS Financial
Newton, Massachusetts financial advisor Patrick Moriarty (CRD# 4764378) was recently fired from a former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former UBS Financial Services broker is currently registered as an investment advisor with Aegis Capital.
Mario Payne: TOAMS Financial Advisor Faces 7-Figure Complaints
Jacksonville, Florida financial advisor Mario Payne (CRD# 5445757) has received multiple investor complaints alleging that he recommended unsuitable and concentrated investments. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Raymond James broker is registered as an investment advisor with TOAMS Financial.
Chris Shaw: FINRA Suspends Newbridge Advisor over GPB Capital Sales
A recent sanction against Belmont, North Carolina financial advisor Chris Shaw (CRD# 5011382) alleged that he recommended unsuitable investments in GPB Capital. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Newbridge Securities Corporation broker is currently registered as an investment advisor with Newbridge Financial Services.
Bill Campbell: FINRA Suspends Ex-David Lerner Advisor
Former White Plains, New York financial advisor Bill Campbell (CRD# 1180015) was recently suspended in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with David Lerner Associates.
Steven McCormick: FINRA Bars Osaic Advisor
Simi Valley, California financial advisor Steven McCormick (CRD# 5059233) was recently barred by FINRA in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor Osaic Wealth, having previously been registered with Woodbury Financial Services. A Letter of Acceptance, Waiver, and Consent… Read More »
