Boca Raton, Florida financial advisor Philip Pike (CRD# 5695273) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial...
Read MoreCategory Archives: Uncategorized
Mike Savarese: America’s Retirement Advisor Lands $100K Complaint
San Diego financial advisor Mike Savarese (CRD# 1241811) recently received an investor complaint alleging that he breached his fiduciary duty. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with CreativeOne Securities, doing business as America’s Retirement Advisory Group.
Roger Roemmich: $100K Complaint Against Alexander Capital Advisor
Atlanta financial advisor Roger Roemmich (CRD# 1293322) recently received an investor complaint alleging that his investment 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 Alexander Capital.
John Jacobs: Did Merrill Lynch Advisor Faces Theft Allegations
Las Cruces, New Mexico financial advisor John Jacobs (CRD# 1405497) recently received an investor complaint alleging misconduct. Records maintained by the Financial Industry Regulatory Authority indicate that he is currently registered as a broker and an investment advisor with Merrill Lynch.
Lyndon Taylor: $99K Complaint Against Choice Financial Advisor
Oklahoma City financial advisor Lyndon Taylor (CRD# 1423130) allegedly recommended unsuitable high-risk investments, according to a recent investor complaint. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that he is currently registered as an investment advisor with International Assets Investment Management and the president of Choice Financial Services.
John Dewitt: Ausdal Advisor Faces $100K GWG Complaint
Moline, Illinois financial advisor John Dewitt (CRD# 1999161) recently received an investor complaint alleging that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Ausdal Financial Partners.
Leslie Lauer: $500K-$1mm Complaint Against Ex-UBS Advisor
Atlanta financial advisor Leslie Lauer (CRD# 2941432) recently received an investor complaint in connection with an options overlay strategy. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with RBC Capital Markets, having previously been registered with UBS Financial Services.
Barry Dow: 6-Figure Complaint Against Dempsey Advisor
A recent investor complaint against Rome, Georgia financial advisor Barry Dow (CRD# 4827935) alleges that he provided unsuitable investment advice. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Dempsey Lord Smith.
Joel Parady, ReJoyce Advisor, Barred over Fraud Allegations
Carmel, Indiana financial advisor Joel Parady (CRD# 6938873) was recently terminated by Howard Bailey Securities in connection with an enforcement action against him. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that he is currently registered as an investment advisor with ReJoyce Wealth Management.
Phil Jones: $5 Million Complaint Against Merrill Lynch Advisor
Houston financial advisor Phil Jones (CRD# 2445213) recently received an investor complaint alleging that his advice resulted in losses. Records maintained by the Financial Industry Regulatory Authority indicate that he is currently registered as a broker and an investment advisor with Merrill Lynch.
Brandon Asher: Merrill Lynch Advisor Faces Complaint
A recent investor complaint against Westlake Village, California financial advisor Brandon Asher (CRD# 5924831) alleges that he made unsuitable recommendations. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Merrill Lynch, whose website describes him as a member of the Miller Asher Group.
