Former Houston, Texas financial advisor Bob Thompson (CRD# 713539) was recently sanctioned and barred in connection with alleged rule violations....
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Damon Mapes: Ex-Cetera Advisor Faces $250K Complaint
A recent investor complaint against Hillsboro, Oregon advisor Damon Mapes (CRD# 4011748) alleges that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with LPL Financial, doing business as Banner Investment Services.
Joshua Cook: FINRA Suspends Ex-LPL Financial Advisor
Vernal, Utah financial advisor Joshua Cook (CRD# 4277525) allegedly forged customer signatures, according to a disciplinary action suspending him from acting as a broker. Financial Industry Regulatory Authority records show that the former LPL Financial broker is currently registered as an investment advisor with Cook Financial.
Reuben Brown: FINRA Bars Ex-Edward Jones Advisor
Former Southlake, Texas financial advisor Reuben Brown (CRD# 7089559) was recently sanctioned in connection with allegations that he sold investments away from his member firm. Financial Industry Regulatory Authority records show that the former Edward Jones representative has been barred from registering with any FINRA member firm.
John Mann: Oppenheimer Denies Complaint Against Olympic Advisor
Newport Beach, California financial advisor John Mann (CRD# 6715021) recently received an investor complaint alleging that he failed to follow instructions. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Oppenheimer & Company.
Jason Poschinger: FINRA Investigates Cetera Advisor
Indianapolis financial advisor Jason Poschinger (CRD# 6450544) is under investigation for alleged violations of FINRA rules. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Cetera Investment Services and Cetera Investment Advisers, respectively.
Sandy Schmidt: $750K Complaint Against Catalyst Advisor
Northbrook, Illinois financial advisor Sandy Schmidt (CRD# 1163559) recently received an investor complaint alleging that his conduct resulted in six-figure losses. Financial Industry Regulatory Authority records show that he is registered as a broker with The Leaders Group and an investment advisor with Catalyst Wealth Management.
Forrest James: $444K Complaint Against Irvine Advisor
Irvine, California financial advisor Forrest James (CRD# 1263114) recently received an investor complaint alleging that his conduct resulted in six-figure losses. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Emerson Equity. He is also a representative of Irvine Advisors.
Kevin Paasch: MML Advisor Faces $1.1mm Complaint
A recent investor complaint against Virginia Beach, Virginia financial advisor Kevin Paasch (CRD# 2213833) alleges that his conduct resulted in seven-figure losses. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with MML Investors Services.
Billy Aycock: GWG Complaints Against Aycock Wealth Advisor
Nashville financial advisor Billy Aycock (CRD# 4069907) has received 13 investor complaints involving investments in products including GWG L bonds. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Cabin Securities, doing business as Aycock Wealth Management.
Arif Ahmed: $204 Million Bond Complaint Against First Republic Advisor
Recent investor complaints against San Francisco financial advisor Arif Ahmed (CRD# 3099755) allege more than $200 million in damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with JP Morgan Securities, having previously been registered with First Republic.
