Murray, Utah financial advisor Ray DeWitt (CRD# 2894063) allegedly violated federal securities law, according to a recent investor complaint. Financial...
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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.
Aviva Miller: Vanguard Advisor Received $140K Complaint
Malvern, Pennsylvania financial advisor Aviva Miller (CRD# 7075785) was recently involved in an investor complaint alleging that her failure to follow instructions resulted in six-figure losses. Records provided by the Financial Industry Regulatory Authority indicate that she is a broker with Vanguard Marketing Corporation, an employee of The Vanguard Group, and an investment advisor… Read More »
Kevin Wesner: $1 Million Complaint Against UBS, Ex-Citi Advisor
A new investor complaint against Baltimore financial advisor Kevin Wesner (CRD# 2827165) alleges that his conduct resulted in damages of $1 million. Financial Industry Regulatory Authority records indicate that he is a broker and an investment advisor with UBS Financial Services, having previously been registered with Citigroup Global Markets.
Jay Craddock: Edward Jones Denies $220K Investor Complaint
Bridgeport, Texas financial advisor Jay Craddock (CRD# 3176206) recently received an investor complaint alleging his conduct resulted in six-figure damages. Records provided by the Financial Industry Regulatory Authority indicate that he is currently registered as a broker and an investment advisor with Edward Jones.
Xenith Financial’s Randall Hall: $75K Suitability Complaint
A recent investor complaint alleges that Fort Worth financial advisor Randall Hall (CRD# 7067453) provided an unsuitable investment recommendation that resulted in 5-figure damages. Records provided by the Securities and Exchange Commission indicate that he is an investment advisor affiliated with Xenith Financial Advisory Services.
