A recent, denied investor complaint against Irvine, California financial advisor Joe Fraser (CRD# 6975700) alleged that he violated industry rules...
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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.
James McDermott: GCG Advisor Allegedly Violated Securities Law
Oakbrook Terrace, Illinois financial advisor James McDermott (CRD# 2483480) recently received an investor complaint alleging that he violated state securities law. Financial Industry Regulatory Authority records show that the former Raymond James representative is a broker and an investment advisor with Osaic Wealth, doing business as GCG Wealth Management.
Leo Rosner: $700K Complaint Against Wealth Strategy Advisor
Beachwood, Ohio financial advisor Leo Rosner (CRD# 1011519) allegedly provided investment advice that resulted in six-figure damages, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Cambridge Investment Research, doing business as Wealth Strategy Advisors.
Patrick Kenney: $1mm-$5mm Complaint Against Premier Planning Advisor
Toledo, Ohio financial advisor Patrick Kenney (CRD# 1449448) recently received an investor complaint alleging damages as high as $5 million. Financial Industry Regulatory Authority records show that he is a broker with Ameritas Investment Company and an advisor with Ameritas Advisory Services, as well as a representative of Premier Planning Group.
Kurt Klingenberg: Raymond James Denies $100K Complaint
Scottsdale, Arizona financial advisor Kurt Klingenberg (CRD# 2384065) allegedly made excessive trades, according to a recent, denied investor complaint. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Raymond James & Associates.
