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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Diana Palmieri: $99K Complaint Against Vanderbilt Advisor
Woodbury, New York financial advisor Diana Palmieri (CRD# 2889428) recently received an investor complaint alleging that she recommended unsuitable non-traded REITs and BDCs. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with Vanderbilt Securities and Vanderbilt Advisory Services, respectively.
Curtis Mason: GWN Securities Denies $77K Complaint Against Advisor
Palm Beach Gardens, Florida financial advisor Curtis Mason (CRD# 3246419) 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 GWN Securities, doing business as Mason Financial.
Damon Mapes: Ex-Cetera Advisor Faces $250K Complaint
A recent investor complaint against Hillsboro, Oregon advisor Damon Mapes (CRD# 4011748) alleges that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with LPL Financial, doing business as Banner Investment Services.
Joshua Cook: FINRA Suspends Ex-LPL Financial Advisor
Vernal, Utah financial advisor Joshua Cook (CRD# 4277525) allegedly forged customer signatures, according to a disciplinary action suspending him from acting as a broker. Financial Industry Regulatory Authority records show that the former LPL Financial broker is currently registered as an investment advisor with Cook Financial.
Reuben Brown: FINRA Bars Ex-Edward Jones Advisor
Former Southlake, Texas financial advisor Reuben Brown (CRD# 7089559) was recently sanctioned in connection with allegations that he sold investments away from his member firm. Financial Industry Regulatory Authority records show that the former Edward Jones representative has been barred from registering with any FINRA member firm.
John Mann: Oppenheimer Denies Complaint Against Olympic Advisor
Newport Beach, California financial advisor John Mann (CRD# 6715021) recently received an investor complaint alleging that he failed to follow instructions. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Oppenheimer & Company.
Jason Poschinger: FINRA Investigates Cetera Advisor
Indianapolis financial advisor Jason Poschinger (CRD# 6450544) is under investigation for alleged violations of FINRA rules. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Cetera Investment Services and Cetera Investment Advisers, respectively.
Sandy Schmidt: $750K Complaint Against Catalyst Advisor
Northbrook, Illinois financial advisor Sandy Schmidt (CRD# 1163559) recently received an investor complaint alleging that his conduct resulted in six-figure losses. Financial Industry Regulatory Authority records show that he is registered as a broker with The Leaders Group and an investment advisor with Catalyst Wealth Management.
Forrest James: $444K Complaint Against Irvine Advisor
Irvine, California financial advisor Forrest James (CRD# 1263114) recently received an investor complaint alleging that his conduct resulted in six-figure losses. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Emerson Equity. He is also a representative of Irvine Advisors.
Kevin Paasch: MML Advisor Faces $1.1mm Complaint
A recent investor complaint against Virginia Beach, Virginia financial advisor Kevin Paasch (CRD# 2213833) alleges that his conduct resulted in seven-figure losses. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with MML Investors Services.
