Lake Wales, Florida financial advisor James Nelson (CRD# 1931451) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial...
Read MoreCategory Archives: Uncategorized
Matt Calhoun: $83K Complaint Against Ex-Cambridge Advisor
Columbus, Ohio financial advisor Matt Calhoun (CRD# 4425914) recently received an investor complaint alleging that his advice resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Osaic Wealth and an investment advisor with Signature Equity Partners, having previously been registered with Cambridge Investment Research.
Ray Chera: Ex-Osaic, Woodbury Advisor Faces Complaint
Brooklyn, New York financial advisor Ray Chera (CRD# 5829380) recently received an investor complaint alleging that his advice resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Wells Fargo Advisors, having previously been registered with Osaic Wealth and Woodbury Financial Services.
Hoyt Williams: Investor Complaint Against Ex-Cambridge Advisor
Jackson, Mississippi financial advisor Hoyt Williams (CRD# 2410231) allegedly recommended an investment for the purpose of generating high commissions, according to a recent investor complaint. Securities and Exchange Commission records show that he is registered as an investment advisor with Advisory Services Network.
Mark Atchity: $3.5mm Complaint Against Cabin Advisor
A recent investor complaint against Laguna Niguel, California financial advisor Mark Atchity (CRD# 2530342) alleges that his conduct resulted in damages exceeding $3 million. Financial Industry Regulatory Authority records show that he is registered as a broker with Cabin Securities and JCC Capital Markets and as an investment advisor with Cabin Advisors.
William Grant: Merrill Advisor Lands Options Complaint
A recent investor complaint against Duluth, Georgia financial advisor William Grant (CRD# 4219455) alleges that he misrepresented options investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch.
Brian Tsai: Landolt Advisor Sanctioned over GWG L-Bond Sales
Dallas, Texas financial advisor Brian Tsai (CRD# 6687951) was recently sanctioned in connection with the sale of GWG L-Bonds. Financial Industry Regulatory Authority records show that he is registered as a broker with Landolt Securities and an investment advisor with TKC Wealth Management.
Alan Ngo: Primerica Advisor Barred by FINRA
Former Freehold, New Jersey financial advisor Alan Ngo (CRD# 4273116) was recently sanctioned and barred in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with PFS Investment Services, also known as Primerica.
Kevin McCarthy: FINRA Bars Madison Avenue Advisor
Former Hialeah, Florida financial advisor Kevin McCarthy (CRD# 1702715) was recently sanctioned and barred in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Madison Avenue Securities, doing business as Kevin McCarthy Advisory Services.
Matthew Fetui: $7 Million Complaint Against Wells Fargo Advisor
Costa Mesa, California financial advisor Matthew Fetui (CRD# 5511717) recently received an investor complaint alleging that his advice resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Wells Fargo Clearing Services and Wells Fargo Advisors, respectively.
Robert Boggess: Ex-Great Point Advisor Faces $50K-$100K DST Complaint
Chicago, Illinois financial advisor Robert Boggess (CRD# 5007422) allegedly recommended an unsuitable in transaction, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Quincy Wells Capital and does business as Irexa, having previously been registered with Great Point Capital.
