Chicago, Illinois financial advisor Robert Boggess (CRD# 5007422) allegedly recommended an unsuitable in transaction, according to a recent investor complaint....
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Shawn Parker: REIT Complaints, FINRA Bar, CFP Board Suspension
Former Ameriprise Financial Services advisor Shawn Parker (CRD# 1768234) has received investor complaints alleging her REIT and variable annuity recommendations resulted in losses. Financial Industry Regulatory Authority records show that the former Schaumburg, Illinois broker and investment advisor was also the subject of a recent FINRA sanction barring her from acting as a broker.
William Roach: $159K Investor Complaint Against Duluth Advisor
NYLife Securities financial advisor William Roach (CRD# 1102421) recently received an investor complaint alleging his advice resulted in six-figure losses. Financial Industry Regulatory Authority records show that Mr. Roach is currently registered as a broker in Duluth, Minnesota.
Philip Riposo: Complaints Against Riposo Asset Management Advisor
Philip Riposo (CRD# 400056), a financial advisor formerly associated with United Planners Financial Services, was recently barred over findings he refused to cooperate with an investigation into his conduct. Financial Industry Regulatory Authority records show that he was most recently registered as a broker in Cave Creek, Arizona, where he did business as Riposo… Read More »
Stephen Gladstone: FINRA Bars Liberty Associates Advisor
Former New York City financial advisor Stephen Gladstone (CRD# 222612) was recently sanctioned by securities regulators investigating his potential participation in undisclosed private securities transactions. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Liberty Associates, having previously affiliated with firms like OBEX Securities and Noble Financial… Read More »
Blakely Page: FINRA Suspends Bryn Mawr Advisor over Hedge Fund Stats
Securities regulators recently sanctioned Blakely Page (CRD# 2922955), formerly a representative of Spouting Rock Capital Advisors. Financial Industry Regulatory Authority records show that the former Bryn Mawr, Pennsylvania-based broker and investment advisor allegedly made negligent representations to investors.
Steven Hirata: FINRA Sanctions, Bars Ex-PFS Investments Advisor
Former Fresno financial advisor Steven Hirata (CRD# 1188927) was recently sanctioned by the Financial Industry Regulatory Authority for allegedly refusing to cooperate with an investigation into his conduct. FINRA records show that the former PFS Securities broker is currently barred from acting as a broker or otherwise associating with a broker-dealer firm.
Rod Thomas: GPB Auto Complaint Against Former SCF Securities Advisor
Boca Raton financial advisory Rod Thomas (CRD# 4010563) recommended an unsuitable investment in GPB Automotive, according to a recent investor complaint against him. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Newbridge Securities and Newbridge Financial Services, doing business as Shield Capital Advisory.
Scott Brooks: GPB Capital Complaint Against Gold Coast Advisor
San Clemente, California financial advisor Scott Brooks (CRD# 3235252) recently received an investor complaint alleging he engaged in negligence and other forms of misconduct. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Gold Coast Financial, offering securities and advisory services through Newbridge Securities and Newbridge Financial… Read More »
Jay Ruggiere: NYC Advisor Received REIT Complaint
Alexander Capital financial advisor Jay Ruggiere (CRD# 2548108) has received an investor complaint alleging he committed fraud. Financial Industry Regulatory Authority records show that he is a broker based in New York City.
SEC Charges Against Western International Securities: GWG L Bonds
The US Securities and Exchange Commission has filed charges against Western International Securities and five of the firm’s brokers: Nancy Cole, Patrick Egan, Andy Gitipityapon, Steven Graham, and Thomas Swan. According to a complaint released by the regulator, the firm and these representatives engaged in violations of the SEC’s Regulation Best Interest “when they… Read More »
