Former Seattle, Washington financial advisor William Sandeman (CRD# 831384) was recently sanctioned and barred in connection with alleged rule violations....
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Fernando Roman Corujo: Pending Sanction Against Linda Corujo Advisor
A pending regulatory action against San Juan financial advisor Fernando Roman Corujo (CRD# 5657513) alleges that he sold high-risk investments in unregistered securities without approval as a securities agent. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Lincoln Financial Securities Corporation, as well as a representative… Read More »
Ralph Freedman: $1.125 Million Complaint Against Ameriprise Advisor
A recent investor complaint against Sewickley, Pennsylvania financial advisor Ralph Freedman (CRD# 2474616) alleges that his advice led to more than $1 million in damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor registered with Ameriprise Financial Services.
Raul Benitez: $100K-$500K Complaint Against Ex-Truist Advisor
Fort Lauderdale financial advisor Raul Benitez (CRD# 4457185) has received multiple investor complaints alleging that his investment advice resulted in losses. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Wells Fargo broker is currently an investment advisor with Aragon Capital.
Edward Cohen: GIC Complaint Against Truist Advisor
Bal Harbour, Florida financial advisor Edward Cohen (CRD# 4693017) allegedly recommended an unsuitable investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Truist Investment Services and Truist Advisory Services, respectively.
Richard Brittain: Equitable Advisor Faces Variable Annuity Complaint
A recent investor complaint against Valencia, California financial advisor Richard Brittain (CRD# 5928857) alleges that his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Equitable Advisors.
Jennifer McIntyre: Did Raymond James Advisor Misappropriate Funds?
Chattanooga financial advisor Jennifer McIntyre (CRD# 5853811) allegedly misappropriated funds, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with Raymond James & Associates.
James Blaszyk: $400K Complaint Against Wells Fargo Advisor
A recent investor complaint against Boynton Beach, Florida financial advisor Jim Blaszyk (CRD# 5364851) alleges that his investment advice resulted in damages of $400,000. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor registered with Wells Fargo Clearing Services.
Joe Natoli: New York Fines Park Avenue Securities Advisor
New York City financial advisor Joe Natoli (CRD# 5364851) was recently sanctioned by the New York State Department of Financial Services in connection with alleged misconduct. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Park Avenue Securities.
Ronald Morse: FINRA Suspends David Lerner Advisor
White Plains, New York financial advisor Ronald Morse (CRD# 341008) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is currently registered as a broker with David Lerner Associates and an investment advisor with Spirit of America Management Corporation.
Tom Bates: $500K Complaint Against Bates Financial Advisor
Columbus, Ohio financial advisor Tom Bates (CRD# 1037294) allegedly gave misleading investment advice, 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. His website shows that he is a representative of Bates Financial, which offers securities and advisory… Read More »
