Winnetka, Illinois financial advisor Pat Gorand (CRD# 5559541) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry...
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Doug McCauley: FINRA Bars Ex-Madison Ave Advisor
Former Arlington, Virginia financial advisor Doug McCauley (CRD# 1257811) was recently sanctioned and barred in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Madison Avenue Securities broker is currently not registered with any state or firm.
Josh Jaffe: Longbridge, Ex-Ameriprise Advisor Faced $202K Complaint
A recent, denied investor complaint against Newark, Ohio financial advisor Josh Jaffe (CRD# 5085863) alleged that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Steward Partners, whose website describes him as a member of the firm’s Longbridge Wealth… Read More »
John Pulliam: Why Did Raymond James Fire Leaders Group Advisor?
Summit, New Jersey financial advisor John Pulliam (CRD# 2224237) was recently fired by his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Raymond James Financial Services representative is currently registered as a broker with The Leaders Group.
JP Ledesma: Emerson Equity Advisor Faces Fraud Complaints
Irvine, California financial advisor JP Ledesma (CRD# 2379751) has received multiple investor complaints alleging that he violated industry laws and rules. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Emerson Equity.
Lei Wang: Investor Complaint Against Osaic Advisor
West Palm Beach, Florida financial advisor Lei Wang (CRD# 2626500) recently received an investor complaint alleging that she misrepresented an investment. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Osaic Wealth.
Davee Schulte: Raymond James Advisor Lands Misappropriation Complaint
Chula Vista, California financial advisor Davee Schulte (CRD# 2814412) allegedly misappropriated customer funds, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Raymond James Financial Services.
David N. Cohen: Misappropriation Complaint Against Cetera Advisor
Yonkers, New York financial advisor David N. Cohen (CRD# 5083883) recently received an investor complaint alleging that he misappropriated client funds. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Cetera Investment Services and Cetera Investment Advisers, respectively.
Amit Urban: $475K Complaint Against Fortitude Advisor
A recent investor complaint against Ann Arbor, Maryland financial advisor Amit Urban (CRD# 6855682) alleges that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Concorde Investment Services, doing business as Fortitude Investment Group.
Joseph Lenderman: Equitable Advisor Faced Denied Complaint
A recent, denied investor complaint against Fort Worth, Texas financial advisor Joseph Lenderman (CRD# 7128657) alleged that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Equitable Advisors.
Nick Olivas: Why Did LPL Fire Prospera, Bregma Advisor?
Irvine, California financial advisor Nick Olivas (CRD# 6803146) was recently terminated from his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former LPL Financial representative is registered as a broker and an investment advisor with Prospera Financial Services, doing business as Bregma Private Wealth.
