A recent investor complaint against Los Angeles, California financial advisor Rick Rappaport (CRD# 1885122) alleges that his conduct resulted in...
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Jon Barter: UBS Advisor Discloses $18 Million Bond Complaint
New York City financial advisor Jon Barter (CRD# 2975538) recently received an investor complaint alleging that his advice resulted in eight-figure damages. 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 member of Barter Worden Wealth… Read More »
Michelle Anthony: Modern Wealth Advisor Discloses $100K Bond Complaint
A recent investor complaint against Tucson, Arizona financial advisor Michelle Anthony (CRD# 4512228) alleges that her advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Centaurus Financial, doing business as Modern Wealth Management.
Luke Schunk: Moloney Advisor Lands $50K-$100K Complaint
Tomahawk, Wisconsin financial advisor Luke Schunk (CRD# 2387553) recently received an investor complaint alleging that his conduct resulted in damages as high as $100,000. Financial Industry Regulatory Authority records show that he is registered as a broker with Moloney Securities, doing business as The Investment Center of Tomahawk.
Daryl Calton: Ex-Calton & Associates Advisor Lands $50K-$99K Complaint
Former Mesa, Arizona financial advisor Daryl Calton (CRD# 1002304) allegedly recommended unsuitable investments, according to a recent investor complaints. Financial Industry Regulatory Authority records show that the former Calton & Associates representative is no longer registered as a broker or an investment advisor.
Todd Paradise: Ex-Cambridge Advisor’s Clients Allege $1mm Loss
Baltimore, Maryland financial advisor Todd Paradise (CRD# 4248813) allegedly over-concentrated a customer’s portfolio and caused seven-figure damages, according to a recent lawsuit. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Cambridge Investment Research broker is currently registered as an investment advisor with WPG Financial Group.
Allison Terlip: $817K Complaint Against Ex-Ameritas Advisor
Former Navarre, Florida financial advisor Allison Terlip (CRD# 5530486) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that while she is not currently registered as a broker, she was formerly registered with Ameritas Investment Company.
Christopher Reynolds: FINRA Bars Former Pruco Advisor
Former Canonsburg, Pennsylvania financial advisor Christopher Reynolds (CRD# 5976029) was recently barred by FINRA in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was previously registered as a broker with Pruco Securities and WesBanco Securities.
Glenn Donnell: FINRA Suspends Ex-Sigma Financial Advisor
Former Crystal River, Florida financial advisor Glenn Donnell (CRD# 2239397) was recently suspended and fined in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Sigma Financial Corporation.
Jon Urbach: Fidelity Advisor Faces $426K Complaint
Chicago financial advisor Jon Urbach (CRD# 5308455) recently received an investor complaint alleging that his conduct resulted in damages exceeding $400,000. Financial Industry Regulatory Authority records show that he is registered as a broker with Fidelity Brokerage Services and an investment advisor with Fidelity Personal and Workplace Advisors.
Mark D’Ercole: Ex-Portsmouth Advisor Discloses GWG Complaint
Former San Francisco financial advisor Mark D’Ercole (CRD# 820220) recently received an investor complaint alleging that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that the former Portsmouth Financial Services broker is not currently registered with any broker-dealer firm.
