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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Michael Norton: David Lerner Advisor Faces $500K SOAEX Complaint
Syosset, New York financial advisor Michael Norton (CRD# 2617985) recently received an investor complaint concerning an investment in SOAEX. Financial Industry Regulatory Authority records show that he is currently registered as a broker with David Lerner Associates and an investment advisor with Spirit of America Management Corporation.
Brian Hinson: $200K Complaint Against Savant Wealth Advisor
Huntsville, Alabama financial advisor Brian Hinson (CRD# 2783737) recently received an investor complaint alleging that his conduct resulted in six-figure losses. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former LPL Financial broker is currently registered as an investment advisor with Savant Wealth Management.
Andy Ross: Oil & Gas Complaints Against Ex-Lincoln Advisor
Waltham, Massachusetts financial advisor Andy Ross (CRD# 5574651) has received multiple investor complaints regarding investments in oil and gas products. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former LPL Financial broker is currently registered as an investment advisor with Integrated Wealth Partners.
Bob Schrieber: Baird Advisor Lands $100K Suitability Complaint
Elgin, Illinois financial advisor Bob Schrieber (CRD# 1811758) allegedly recommended an unsuitable investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Robert W. Baird & Company.
Adam Mahd: $200K Complaint Against MML Advisor
A recent investor complaint against Southfield, Michigan financial advisor Adam Mahd (CRD# 4817500) alleges that her advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with MML Investors Services, having previously been registered with MSI Financial Services.
Debbie Biosca: $34mm Complaint Against Arkadios Financial Advisor
Arlington Heights, Illinois financial advisor Debbie Biosca (CRD# 4584010) has received multiple investor complaints alleging that her conduct resulted in damages. Financial Industry Regulatory Authority records show that she is registered as a broker with Arkadios Capital and an investment advisor with Arkadios Wealth Advisors, having previously been registered with Triad Advisors. Ms. Biosca’s… Read More »
Brent Fuchs: Heritage Advisor Lands 6-Figure Oil & Gas Complaints
Preston, Maryland financial advisor Brent Fuchs (CRD# 4269916) has received multiple investor complaints alleging that he recommended unsuitable oil and gas products. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Lincoln Financial Advisors Corporation. He is also a representative of Heritage Financial Consultants.
Kit Kessler: FINRA Investigates American Trust Advisor
San Clemente, California financial advisor Kit Kessler (CRD# 4543640) is under investigation for allegedly participating in an unapproved outside business activity. Financial Industry Regulatory Authority records show that he is currently registered as a broker with American Trust Investment Services and an advisor with Asset Strategies and Chicago Capital Management Advisors.
Valence Williams: FINRA Suspends Ex-JH Darbie Advisor
Former New York City financial advisor Valence Williams (CRD# 1389729) was recently suspended in connection with allegations of unauthorized trading. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with JH Darbie & Co., having previously been registered with Aegis Capital.
Justin Ranger: Ameriprise Fires New Orleans Advisor
Metairie, Louisiana financial advisor Justin Ranger (CRD# 5229729) was recently 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 Ameriprise Financial Services broker is currently registered as an advisor with Second Line Capital.
