Former Orlando, Florida financial advisor Richard Routie (CRD# 4379905) was recently sanctioned and suspended in connection with allegations that he...
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Matthew Winthrop: Aegis Broker Fired by Equitable Advisors
Easton, Connecticut financial advisor Matthew Winthrop (CRD# 2445102) was recently fired by his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he the former Equitable Advisors representative is currently registered as a broker and an investment advisor with Aegis Capital.
Carlson Law Represents Former Clients of Blake Fellows
Carlson Law, P.A. represents investors who were clients of Blake Fellows and Fellows Financial Group, LLC. The husband and wife investors allege that Mr. Fellows recommended unsuitable investments and strategies that caused them significant financial losses. The allegations relate to Mr. Fellows’ recommendations of speculative investments, including a business opportunity with Guardian Wireless, that… Read More »
Jordana Wojnowski: LPL Advisor Lands Unauthorized Trading Complaint
A recent investor complaint against Winter Haven, Florida financial advisor Jordana Wojnowski (CRD# 5696895) alleges that she made unauthorized trades. Financial Industry Regulatory Authority records show that she is registered as a broker with LPL Financial, doing business as Allen & Company.
Thomas Justice: $1mm Complaint Against Emerson Equity Advisor
San Mateo, California financial advisor Thomas Justice (CRD# 2786145) has received multiple investor complaints alleging that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered with a broker and an investment advisor with Emerson Equity, having previously been registered with Conover Securities.
Art McPherson: $250K Complaint Against Prostatis Advisor
Melbourne, Florida financial advisor Art McPherson (CRD# 2245364) 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 with World Equity Group and an investment advisor with Prostatis Financial Advisors Group, doing business as McPherson Financial Group.
Sal Salvo: Purshe Kaplan, Summit Advisor Faces $784K Complaint
A recent investor complaint against Parsippany, New Jersey financial advisor Sal Salvo (CRD# 409637) alleges that her conduct resulted in more than $700,000 in damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Purshe Kaplan Sterling and an investment advisor with Summit Financial.
Diana Leon: Osaic Advisor Faced Suitability Complaint
Gaithersburg, Maryland financial advisor Diana Leon (CRD# 4857407) allegedly recommended an unsuitable investment, according to a recent, denied investor complaint. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Osaic Wealth.
Jason Nardella: $677K Complaint Against Ameriprise Advisor
Naples, Florida financial advisor Jason Nardella (CRD# 2931678) recently received an investor complaint alleging that he made unauthorized transactions. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Ameriprise Financial Services.
Steven Cho: $378K Complaint Against Ex-David Lerner Advisor
Red Bank, New Jersey financial advisor Steven Cho (CRD# 2610257) made an unsuitable investment recommendation, according to a recent, denied investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with HJ Sims & Company, having previously been registered with David Lerner Associates.
Scott Weir: Osaic Advisor Received 6-Figure Complaint
Cedarburg, Wisconsin financial advisor Scott Weir (CRD# 2196183) allegedly misrepresented an investment strategy, according to a recent, denied investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Osaic Wealth, doing business as Weir Wealth Management.
