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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Matt Wilkes: $4.1 Million Complaint Against Greensview Advisor
Recent investor complaints against Franklin, Tennessee financial advisor Matt Wilkes (CRD# 5409004) allege that he recommended unsuitable insurance policies. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former TrustFirst broker is currently registered as an investment advisor with Greensview Wealth Management.
Jeff Davidson: FINRA Suspends Ex-Equitable Advisor
Austin, Texas financial advisor Jeff Davidson (CRD# 4585780) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Equitable Advisors broker is currently registered as an investment advisor with Victory Financial.
Jaime Rios: Regulators Censure, Finr Money Concepts Advisor
Corpus Christi financial advisor Jaime Rios (CRD# 1747126) was recently sanctioned by securities regulators in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is registered as a broker with Money Concepts Capital Corporation.
Franz Koch: Unauthorized Trading Complaint Against Wells Fargo Advisor
Boca Raton financial advisor Franz Koch (CRD# 4467954) 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 Wells Fargo Clearing Services.
Brian Shevland: FINRA Suspends Bluestone Capital Advisor
Wayne, Pennsylvania financial advisor Brian Shevland (CRD# 4570496) was recently sanctioned and suspended in connection with alleged misrepresentations. Financial Industry Regulatory Authority records show that he is registered as a broker with MCG Securities and an investment advisor with Bluestone Capital Management.
Jorge Menendez: $800K Complaint Against Citi Advisor
Miami financial advisor Jorge Menendez (CRD# 5138358) recently received an investor complaint alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Citigroup Global Markets.
Javier Martin-Riva: Bulltick Advisor Faces $20 Million Complaint
A recent investor complaint against Miami financial advisor Javier Martin-Riva (CRD# 6706706) alleges that he misrepresented a convertible note investment and misappropriated funds. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Bulltick.
James Lepore Resigns from LPL Financial: Allegations
Wooster, Ohio financial advisor James Lepore (CRD# 6714332) recently resigned from his former member firm, Edward Jones, in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is now registered as a broker and an investment advisor with LPL Financial, doing business as Cascade Financial.
Carlson Law Investigating Former UBS Broker Michael Lipschutz
Carlson Law is investigating former Rochester, New York, UBS Broker Michael Lipschutz. We have been retained by a former client of Lipschutz who lost nearly her entire account value after Lipschutz had her transfer it to TradeStation from UBS and engaged in high-risk trading. Lipschutz was employed by UBS from 2012 through March 31,… Read More »
Mike Matteoni: $100K REIT Complaint Against MC2 Wealth Advisor
A recent investor complaint against Reno, Nevada financial advisor Mike Matteoni (CRD# 4177784) alleges that his investment advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Triad Advisors. He is a representative of MC2 Wealth Solutions.
