Former Seattle, Washington financial advisor William Sandeman (CRD# 831384) was recently sanctioned and barred in connection with alleged rule violations....
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Gus Mask: Did Ex-Cambridge Advisor Recommend Unsuitable Products?
Fort Worth financial advisor Gus Mask (CRD# 5359820) recently received an investor complaint alleging his conduct resulted in losses exceeding $100,000. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Charles Schwab & Company, having previously been registered with USAA Financial Advisors and Cambridge Investment Research.
Ramses Fisher: FINRA Recommends Action Against Vault Capital Advisor
Malibu financial advisor Ramses Fisher (CRD# 6012559) allegedly engaged in a “deceptive scheme” when selling securities to an investor, according to a recent regulatory investigation. Financial Industry Regulatory Authority records show that the former AXA Advisors broker is currently an investment advisor with Vault Capital.
Joseph Muller: CP Wealth Advisor Denies Bond Complaint
Manchester, Missouri financial advisor Joseph Muller (CRD# 6092175) recently received an investor complaint alleging his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Moloney Securities, doing business as CP Wealth Management.
Bill Addison: Community Financial Advisor Faces $700K Complaint
Columbia, South Carolina financial advisor Bill Addison (CRD# 6152328) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker with LPL Financial and an investment advisor with Independent Advisor Alliance, doing business as First Community Financial Consultants.
Spencer Miller: Private Placement Complaint Against Merrill Advisor
Westlake Village financial advisor Spencer Miller (CRD# 6273107) recently received an investor complaint alleging his advice resulted in losses. Records provided by the Financial Industry Regulatory Authority show that he is a broker and an investment advisor with Merrill Lynch. He is also registered with the firm’s office in Boise, Idaho.
Randall Mason: $99K Complaint Against Cirrus Financial Group Advisor
A recent investor complaint against Centennial, Illinois financial advisor Randall Mason (CRD# 1758777) alleges that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Cetera Advisors, doing business as Cirrus Financial Group.
Cetera Advisor Stephen Lawler: Complaint Settles for $425K
Peoria, Illinois financial advisor Stephen Lawler (CRD# 1193477) has received multiple investor complaints alleging he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Cetera Advisors and Cetera Investment Advisors, respectively, having previously been registered with First Allied Securities.
Ex-National Securities Advisor Michael Blueweiss Lands $100K Complaint
Melville, New York financial advisor Michael Blueweiss (CRD# 728969) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker with Arete Wealth Management, having previously been registered with National Securities Corporation.
Timothy Judson: Ex-Royal Alliance Advisor Faces $100K-$500K Complaint
McLean, Virginia financial advisor Timothy Judson (CRD# 709195) allegedly recommended unsuitable investments that resulted in six-figure damages, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Osaic Wealth, having previously been registered with Royal Alliance Associates.
Joseph Johnson: $300K Complaint Against Vanderbilt Advisor
A recent investor complaint against Woodbury, New York financial advisor Joseph Johnson (CRD# 1312422) alleged that his trading resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker with Vanderbilt Securities and an investment advisor with Vanderbilt Advisory Services.
