Former Woodbury and Melville, New York financial advisor Keith D’Agostino (CRD# 2837860) was recently sanctioned and suspended in connection with...
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Edwin Lickiss: DOJ Alleges Ponzi Scheme by Suspended Bay Area Advisor
Alamo, California financial advisor Edwin Lickiss (CRD# 844969) was recently charged by the US Department of Justice with wire fraud and money laundering in connection with an alleged Ponzi scheme. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Investment Architects, and he was formerly the owner… Read More »
Dan Pikula: $1.5mm Complaint Against Money Manager Advisor
Wellington, Florida financial advisor Dan Pikula (CRD# 2563165) recently received an investor complaint alleging that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Emerson Equity and an investment advisor with Money Manager.
Steve Menke: Strategic Wealth Advisor Faces Oil & Gas Complaint
A recent investor complaint against Lawrence, Kansas financial advisor Steve Menke (CRD# 4548579) alleges that his advice resulted in losses. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Cambridge Investment Research and that he is a representative of Strategic Wealth.
Barbara Wooden: $100K Complaint Against Primerica Advisor
Lake Worth, Florida financial advisor Barbara Wooden (CRD# 4921913) recently received an investor complaint alleging that she recommended an unsuitable investment. Financial Industry Regulatory Authority records show that she is registered as a broker with PFS Investments and an investment advisor with Primerica Advisors.
Matthew Klein: $110K Complaint Against MATAURO Advisor
Summit, New Jersey financial advisor Matthew Klein (CRD# 5060520) allegedly misrepresented an investment, according to an investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with The Leaders Group and an investment advisor with MATAURO.
Ryan Messenger: $20K Complaint Against Edward Jones Advisor
A recent investor complaint against Meadville, Pennsylvania financial advisor Ryan Messenger (CRD# 5091888) alleges that he made an illegal transfer. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Edward Jones.
Tony Tolene: Infinity Advisor Receives $100K Complaint
Harrisburg, Pennsylvania financial advisor Tony Tolene (CRD# 5730068) recently received an investor complaint alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that he is registered as an investment advisor, and was formerly a broker, with Infinity Financial Services.
Tiffany Keigley: FINRA Bars Ex-Morgan Stanley Advisor
Former Tulsa, Oklahoma financial advisor Tiffany Keigley (CRD# 4507001) was recently sanctioned and barred in connection with alleged rule violations. Financial Industry Regulatory Authority records show that she was most recently registered as a broker with Morgan Stanley and that she has received one investor complaint.
Shammi Samaroo: FINRA Bars Ex-NYLife Advisor
Former Sunrise, Florida financial advisor Shammi Samaroo (CRD# 6267861) was recently sanctioned and barred in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with NYLife Securities.
Eric Dupre: Barred Ex-Ameriprise Advisor Faces $3mm Complaint
Former San Antonio, Texas financial advisor Eric Dupre (CRD# 2174456) was recently sanctioned and barred in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Ameriprise Financial Services and that he has received an investor complaint alleging 7-figure damages.
