Indianapolis, Indiana financial advisor J. Keith Stucker (CRD# 1094241) allegedly churned investments, according to a recent, denied investor complaint. Financial...
Read MoreCategory Archives: Uncategorized
Chelsea Deng: Merrill Lynch Advisor Faces Private Placement Complaint
Beverly Hills financial advisor Chelsea Deng (CRD# 4179306) allegedly made unsuitable investment recommendations, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with Morgan Stanley, having previously been registered with Merrill Lynch.
Walter Schoczolek: $500K Complaint Against Avantax Advisor
Charlotte, North Carolina financial advisor Walter Schoczolek (CRD# 4488009) recently received an investor complaint alleging his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker with Sigma Financial Corporation, having previously been registered with Avantax Investment Services.
Michael D’Andrea: Sovereign Global Advisor Receives $100K Complaint
Melville, New York financial advisor Michael D’Andrea (CRD# 5919930) recently received an investor complaint alleging that he churned investments and committed fraud. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Sovereign Global Advisors.
Andrew Lofton: Cetera Advisor Faces $300K Complaint
A recent investor complaint against Franklin, Tennessee financial advisor Andrew Lofton (CRD# 6723209) alleges that his advice resulted in six-figure losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor registered with Cetera Investment Services.
Louis Goff: SEC Fraud Charges Against Wells Fargo Advisor
Salt Lake City financial advisor Louis Goff (CRD# 4882759) allegedly participated in a fraudulent securities offering, according to a recent Securities and Exchange Commission complaint. Financial Industry Regulatory Authority records show that he is currently a broker registered with Wells Fargo Clearing Services.
Matt Hawkins: SEC Issues Complaint Against Cola Wealth Advisor
Lexington, South Carolina financial advisor Matthew Hawkins (CRD# 5731136) allegedly engaged in potential violations of securities industry rules, according to a pending complaint by the Securities and Exchange Commission. Financial Industry Regulatory Authority records show that he is a broker with Centaurus Financial, doing business as Cola Wealth Advisor.
David Ross: Why Did Edward Jones Fire Portland Advisor?
Portland financial advisor David Ross (CRD# 6284235) was recently fired by a former broker-dealer firm 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 Price Financial Group Wealth Management.
Frank Kuiper: $1mm-$5mm Complaint Against Financial Designs Advisor
San Diego financial advisor Frank Kuiper (CRD# 1774282) allegedly committed fraud, according to a recent investor complaint. Records provided by the Financial Industry Regulatory Authority show that he is a broker with Concorde Investment Services and an advisor with Concorde Asset Management, doing business as Financial Designs.
Gustavo Miramontes: 6-Figure Complaint Against Oppenheimer Advisor
An investor complaint against Los Angeles financial advisor Gustavo Miramontes (CRD# 2338966) alleges that his conduct resulted in damages of more than $150,000. Financial Industry Regulatory Authority records show that he is a broker registered with Oppenheimer & Company, having previously been registered with Wedbush Securities and Wells Fargo Advisors.
Joseph Audia: VCS Advisor Lands $295K Suitability Complaint
Hauppage, New York financial advisor Joseph Audia (CRD# 2909761) recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker with VCS Venture Securities and that he was previously registered with Joseph Stone Capital.
