Boca Raton, Florida financial advisor Philip Pike (CRD# 5695273) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial...
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Carlos Vega: Mutual of Omaha Advisor “Permitted to Resign”
San Juan, Puerto Rico financial advisor Carlos Vega (CRD# 7022705) recently resigned from Mutual of Omaha Investor Services in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that he is currently registered as an investment advisor with Consultiva Wealth Management Corporation.
Randy Cox: $100K Complaint Against Cox Financial, Ex-FSC Advisor
A recent investor complaint against Hudson Oaks, Texas financial advisor Randy Cox (CRD# 2544998) alleges that he recommended an unsuitable alternative investment. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Osaic Wealth, doing business as Cox Financial Group.
Patti Beckwith: Constitution Financial Advisor Faces $200K Complaint
Danvers, Massachusetts financial advisor Patti Beckwith (CRD# 1317644) recently received an investor complaint alleging that her advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with Raymond James Financial Services, and the owner of Constitution Financial Partners.
Vincent Virga: PFS Advisor Faces $1.1 Million NorthStar REIT Complaint
A recent investor complaint against Naples, Florida financial advisor Vincent Virga (CRD# 5070668) alleges that he recommended an unsuitable investment in a NorthStar Healthcare REIT. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Madison Avenue Securities broker is currently an investment advisor with AE Wealth Management. He is… Read More »
John Beggans: $40 Million Complaint Against JP Morgan Advisor
Boston financial advisor John Beggans (CRD# 2736874) recently received an investor complaint alleging eight-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor registered with JP Morgan Securities.
Barry Schwartz: $1 Million Complaint Against UBS Advisor
Miami financial advisor Barry Schwartz (CRD# 1022377) recently received an investor complaint alleging that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with UBS Financial Services.
Jason La Vigne: Blue Water Advisor Lands $203K Complaint
Easton, Pennsylvania financial advisor Jason La Vigne (CRD# 4499856) recently received an investor complaint alleging that his advice resulted in damages exceeding $200,000. Financial Industry Regulatory Authority records show that he is a broker with Triad Advisors, doing business as Blue Water Financial.
Leonard Rich: Suitability Complaint Against Joseph Gunnar Advisor
A recent investor complaint against Uniondale, New York financial advisor Leonard Rich (CRD# 375427) alleges that he made excessive trades in a customer’s account. Financial Industry Regulatory Authority records show that he is a broker with Joseph Gunnar & Company.
Richard Brown: $368K Annuity Complaint Against Cetera Advisor
Fort Myers financial advisor Richard Brown (CRD# 1595628) has received investor complaints alleging that he recommended unsuitable investments in REITs and other products. Financial Industry Regulatory Authority records show that he is a broker with Cetera Advisor Networks, doing business as Richard Brown Investments.
Steve Stanford: GWG L Bond Complaint Against Portsmouth Advisor
Fairhope, Alabama financial advisor Steve Stanford (CRD# 1686790) allegedly provided misleading advice regarding GWG L bonds, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Portsmouth Financial Services.
