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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Barry Schwartz: $1 Million Complaint Against UBS Advisor
Miami financial advisor Barry Schwartz (CRD# 1022377) recently received an investor complaint alleging that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with UBS Financial Services.
Jason La Vigne: Blue Water Advisor Lands $203K Complaint
Easton, Pennsylvania financial advisor Jason La Vigne (CRD# 4499856) recently received an investor complaint alleging that his advice resulted in damages exceeding $200,000. Financial Industry Regulatory Authority records show that he is a broker with Triad Advisors, doing business as Blue Water Financial.
Leonard Rich: Suitability Complaint Against Joseph Gunnar Advisor
A recent investor complaint against Uniondale, New York financial advisor Leonard Rich (CRD# 375427) alleges that he made excessive trades in a customer’s account. Financial Industry Regulatory Authority records show that he is a broker with Joseph Gunnar & Company.
Richard Brown: $368K Annuity Complaint Against Cetera Advisor
Fort Myers financial advisor Richard Brown (CRD# 1595628) has received investor complaints alleging that he recommended unsuitable investments in REITs and other products. Financial Industry Regulatory Authority records show that he is a broker with Cetera Advisor Networks, doing business as Richard Brown Investments.
Steve Stanford: GWG L Bond Complaint Against Portsmouth Advisor
Fairhope, Alabama financial advisor Steve Stanford (CRD# 1686790) allegedly provided misleading advice regarding GWG L bonds, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Portsmouth Financial Services.
Rick Harbus: $350K Complaint Against HBW Advisor
Long Beach, California financial advisor Rick Harbus (CRD# 2278654) recently received an investor complaint alleging that his conduct resulted in six-figure damages. Securities and Exchange Commission records show that he is an investment advisor with HBW Advisory Services, having previously been registered as a broker with Cetera Advisor Networks.
Brian Cote: $1 Million Complaint Against Ex-Triad Advisor
A recent investor complaint against Nashville financial advisor Brian Cote (CRD# 4218494) alleged that his conduct resulted in damages of more than $1 million. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Gramercy Park Wealth Advisors (GPWA), having previously been registered with Triad Advisors.
Andrew Murdoch: Somerset Advisor Faces $168K iCap Complaint
Portland, Oregon financial advisor Andrew Murdoch (CRD# 4348536) recently received an investor complaint in connection with an iCap Equities private placement. Financial Industry Regulatory Authority records show that he is currently registered as a broker with Somerset Securities and was previously an investment advisor with Somerset Wealth Management.
Cheryl Kitashima: Bond Complaint Against Centaurus Advisor
Seattle financial advisor Cheryl Kitashima (CRD# 729389) allegedly recommended an unsuitable investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with Centaurus Financial, doing business as Kitashima Wealth Advisors.
Kathryn Hackney: SchoolsFirst Advisor Faces $150K REIT Complaint
Orange, California financial advisor Kathryn Hackney (CRD# 1548894) recently received an investor complaint alleging that she recommended unsuitable REITs. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with LPL Financial, doing business as SchoolsFirst Investment Services.
