Former Orlando, Florida financial advisor Richard Routie (CRD# 4379905) was recently sanctioned and suspended in connection with allegations that he...
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RBC Advisor Martin Klein: Complaints Allege $34 Million Losses
Pending investor complaints against Newport Beach financial advisor Martin Klein (CRD# 1778613) allege that his investment advice resulted in damages of more than $30 million. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with RBC Capital Markets.
Kingswood Advisor Brady Fuchs Receives Oil & Gas Complaint
San Diego financial advisor Brady Fuchs (CRD# 3203016) has received an investor complaint alleging that his conduct resulted in five-figure damages. Records maintained by the Financial Industry Regulatory Authority indicate that he is a broker with Kingswood Capital Partners and an investment advisor with Kingswood Wealth Advisors.
Bill Sines: New Complaint Against Senior Financial Services Advisor
Multiple investor complaints against Seminole, Florida financial advisor Bill Sines (CRD# 2190586) allege that he recommended unsuitable investments. Financial Industry Regulatory Authority records indicate that he is a broker and an investment advisor with Berthel Fisher & Company Financial Services, doing business as Senior Financial Services.
Jason Rossi: $203K Complaint Against Aegis Capital Broker
Melville, New York financial advisor Jason Rossi (CRD# 4384426) allegedly churned investments and made unauthorized trades, according to a recent investor complaint. Financial Industry Regulatory Authority records indicate that the Aegis Capital broker has also been in involved in an investor complaint that reached a settlement.
FINRA Sanctions Ahmed Gheith, Ex-Noble Capital Markets Advisor
Securities regulators recently sanctioned Staten Island financial advisor Ahmed Gheith (CRD# 5783951) in connection with allegations he improperly solicited private placement investments. Financial Industry Regulatory Authority records show that he is a broker with Ceros Financial Services and was formerly registered with Noble Capital Markets.
Ex-Oppenheimer Advisor Iris Israel: $36 Million Horizon Fund Award
More than two dozen complaints against former Atlanta broker Iris Israel (CRD# 1547363) allege that she participated in a Ponzi scheme, with one such complaint resulting in a $36 million arbitration award. Financial Industry Regulatory Authority records show that she was formerly a representative of Oppenheimer & Company and is currently a representative of… Read More »
Sandy Steinberg: Bond Complaint Against Boca Raton AGP Advisor
A recent investor complaint against Boca Raton financial advisor Sandy Steinberg (CRD# 834205) alleges that his investment advice resulted in damages exceeding $350,000. Records maintained by the Financial Industry Regulatory Authority show that he is a broker and an investment advisor with AGP/Alliance Global Partners.
Chris Dukes: GWG L Bond Complaint Against Dukes Financial Advisor
An investor complaint against Thousand Oaks, California financial advisor Chris Dukes (CRD# 4712873) alleges that he recommended an unsuitable investment in GWG L bonds. Financial Industry Regulatory Authority records show that he is a broker with WestPark Capital, doing business as Dukes Financial and Insurance Services.
Jon Rice: ETF Complaint Against Raymond James Advisor
Louisville, Kentucky and George Island, Florida financial advisor Jon Rice (CRD# 4961184) allegedly recommended unsuitable investments, according to a recent investor complaint. Records maintained by the Financial Industry Regulatory Authority show that he is a broker and an investor advisor with Raymond James & Associates.
Armando Roman: $3.5 Million Complaint Against AXIOM Advisor
Scottsdale financial advisor Armando Roman (CRD# 4414526) has received two investor complaints alleging he over-concentrated unsuitable investments. Financial Industry Regulatory Authority and Securities and Exchange Commission records indicate that the former Independent Financial Group broker is currently an investment advisor with AXIOM Founders Family Office.
