A recently published news release describes an investigation into allegations that broker-dealer firm Forge Securities (CRD# 134596) played a role...
Read MoreCategory Archives: Uncategorized
Nick Hamilton: Hamilton Group Advisor Faces $255K Complaint
A recent investor complaint against Greenwood Village, Colorado financial advisor Nick Hamilton (CRD# 4900895) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker with Purshe Kaplan Sterling and an investment advisor with Concurrent Investment Advisors, doing business as The Hamilton Group.
John Corello: Janney Advisor Receives Closed-End Fund Complaint
Allentown, Pennsylvania financial advisor John Corello (CRD# 1407750) recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Janney Montgomery Scott, whose website shows that he is a member of KLC Wealth Advisory.
Ibrahim Kurtulus: Joseph Stone Advisor Lands $875K Complaint
A recent investor complaint against New York City financial advisor Ibrahim Kurtulus (CRD# 2287372) alleges that he made unsuitable trades and improperly used margin. Financial Industry Regulatory Authority records show that he is a broker with Joseph Stone Capital, having previously registered with Windsor Street Capital.
B. Riley Advisors Charlie Hartley, Roger Follis Face $2.6mm Complaint
Washington, DC financial advisors Charlie Hartley (CRD# 2658276) and Roger Follis (CRD# 2653439) recently received an investor complaint alleging that their conduct led to more than $2 million in damages. Financial Industry Regulatory Authority records show that they are representatives of B. Riley Wealth Management, operating under the name Follis Hartley Group.
Richard Calabrese: $9.9mm Complaint Against Corinthian Advisor
New York City financial advisor Richard Calabrese (CRD# 1549013) recently received an investor complaint alleging that his conduct resulted in damages of more than $9 million. Financial Industry Regulatory Authority records show that he is a broker with Corinthian Partners.
Carlos Vega: Mutual of Omaha Advisor “Permitted to Resign”
San Juan, Puerto Rico financial advisor Carlos Vega (CRD# 7022705) recently resigned from Mutual of Omaha Investor Services in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that he is currently registered as an investment advisor with Consultiva Wealth Management Corporation.
Randy Cox: $100K Complaint Against Cox Financial, Ex-FSC Advisor
A recent investor complaint against Hudson Oaks, Texas financial advisor Randy Cox (CRD# 2544998) alleges that he recommended an unsuitable alternative investment. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Osaic Wealth, doing business as Cox Financial Group.
Patti Beckwith: Constitution Financial Advisor Faces $200K Complaint
Danvers, Massachusetts financial advisor Patti Beckwith (CRD# 1317644) recently received an investor complaint alleging that her advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with Raymond James Financial Services, and the owner of Constitution Financial Partners.
Vincent Virga: PFS Advisor Faces $1.1 Million NorthStar REIT Complaint
A recent investor complaint against Naples, Florida financial advisor Vincent Virga (CRD# 5070668) alleges that he recommended an unsuitable investment in a NorthStar Healthcare REIT. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Madison Avenue Securities broker is currently an investment advisor with AE Wealth Management. He is… Read More »
John Beggans: $40 Million Complaint Against JP Morgan Advisor
Boston financial advisor John Beggans (CRD# 2736874) recently received an investor complaint alleging eight-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor registered with JP Morgan Securities.
