Boca Raton, Florida financial advisor Philip Pike (CRD# 5695273) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial...
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Jaime Rios: Regulators Censure, Fine Money Concepts Advisor
Corpus Christi financial advisor Jaime Rios (CRD# 1747126) was recently sanctioned by securities regulators in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is registered as a broker with Money Concepts Capital Corporation.
Franz Koch: Unauthorized Trading Complaint Against Wells Fargo Advisor
Boca Raton financial advisor Franz Koch (CRD# 4467954) allegedly made unauthorized transactions, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Wells Fargo Clearing Services.
Brian Shevland: FINRA Suspends Bluestone Capital Advisor
Wayne, Pennsylvania financial advisor Brian Shevland (CRD# 4570496) was recently sanctioned and suspended in connection with alleged misrepresentations. Financial Industry Regulatory Authority records show that he is registered as a broker with MCG Securities and an investment advisor with Bluestone Capital Management.
Jorge Menendez: $800K Complaint Against Citi Advisor
Miami financial advisor Jorge Menendez (CRD# 5138358) recently received an investor complaint alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Citigroup Global Markets.
Javier Martin-Riva: Bulltick Advisor Faces $20 Million Complaint
A recent investor complaint against Miami financial advisor Javier Martin-Riva (CRD# 6706706) alleges that he misrepresented a convertible note investment and misappropriated funds. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Bulltick.
Mike Matteoni: $100K REIT Complaint Against MC2 Wealth Advisor
A recent investor complaint against Reno, Nevada financial advisor Mike Matteoni (CRD# 4177784) alleges that his investment advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Triad Advisors. He is a representative of MC2 Wealth Solutions.
Eric Ruthman: Ex-LPL Advisor Faces Structured Product Complaint
Atlanta financial advisor Eric Ruthman (CRD# 6281076) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that the former LPL Financial representative is currently registered as a broker with Purshe Kaplan Sterling and an investment advisor with Phase Line Capital.
Nicole Bailey: $100K-$500K Complaint Against RBC Advisor
A recent investor complaint against Denver financial advisor Nicole Bailey (CRD# 7016719) alleges that she recommended unsuitable investments. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with RBC Capital Markets.
Joel Freedman: $1.4mm Complaint Against Morgan Stanley Advisor
West Conshohocken, Pennsylvania financial advisor Joel Freedman (CRD# 1260557) recently received an investor complaint alleging that his conduct resulted in more than $1 million in damages. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Morgan Stanley.
Eric Coombs: Nationwide Advisor Resigned from Huntington
Columbus, Ohio financial advisor Eric Coombs (CRD# 2743447) recently resigned from The Huntington Investment Company in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is currently registered as a broker with Nationwide Investment Services Corporation.
