Costa Mesa, California financial advisor Matthew Fetui (CRD# 5511717) recently received an investor complaint alleging that his advice resulted in...
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Oil & Gas Complaints Against Walter Reyna: Ex-Lincoln Advisor
Walter Reyna (CRD# 1323478), a broker and investment advisor with J.W. Cole Financial, has received multiple investor complaints concerning investments in oil and gas securities. Financial Industry Regulatory Authority records show that he is based in McAllen, Texas and was formerly registered with Lincoln Financial Securities Corporation. He does business as an investment advisor… Read More »
William Campbell: Energy 11 Complaint Against White Plains Advisor
David Lerner Associates representative William Campbell (CRD# 1255769) has received several investor complaints alleging he recommended unsuitable investments to his clients. Financial Industry Regulatory Authority records show that he is a broker based in White Plains, New York.
Steve Wedel: $300K REIT Complaint Against Four Seasons Advisor
Naples, Florida financial advisor Steve Wedel (CRD# 1221992) has received several investor complaints. Financial Industry Regulatory Authority records show that he is a broker with Private Client Services, doing business as Four Seasons Wealth Management, and an investment advisor with RFG Advisory. He was previously registered with LPL Financial in Creve Coeur, Missouri.
Richard Sanders: Merrill Lynch Advisor Has $490K Investor Complaint
Brea, California financial advisor Richard Sanders (CRD# 410229) has received multiple investor complaints alleging he engaged in unauthorized trading. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Merrill Lynch, having previously been registered with UBS Financial Services.
John Zaffarano: $185K Complaint Against Boca Raton Newbridge Advisor
Boca Raton financial advisor John Zaffarano (CRD# 6690551) has received an investor complaint alleging his investment advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Newbridge Securities and Newbridge Financial Services Group, respectively.
John Broughton: $160K Complaint Against Ex-Cetera, LPL Advisor
A recent investor complaint against former Citizens Securities and Cetera Investment Services advisor John Broughton (CRD# 2362478) alleges that he made unsuitable investment recommendations. Financial Industry Regulatory Authority records show that he is not currently registered as a broker or an investment adviser, though he was most recently based in Johnston, Rhode Island and… Read More »
Michael Corrada: 500K Bond Complaint Against Richmond Advisor
A recent investor complaint against former Center Street Securities financial advisor Michael Corrada (CRD# 709158) alleges that his investment advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is not currently registered as a broker or an investment advisor, and that he was most recently based in Richmond, Virginia.
Ex-Laidlaw Advisor Ken Abbas Receives Equities Complaint
Ken Abbas (CRD# 5722935), a financial advisor based in Hauppage, New York, has received investor complaints alleging he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is a broker registered with Network 1 Financial Securities, having previously been registered with Laidlaw & Company.
Kevin McGregor: $5 Million Complaint Against Avantax Advisor
An investor complaint against Concord, California financial advisor Kevin McGregor (CRD# 2540872) alleges that his investment advice resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Avantax Investment Services.
Ken New: GWG Complaint Against Pinnacle Wealth Advisor
Merritt Island, Florida financial advisor Ken New (CRD# 2836918) allegedly recommended an unsuitable investment in GWG L bonds, according to a new investor complaint against him. Financial Industry Regulatory Authority records show that he is registered as a broker and investment advisor with Center Street Securities. He is the owner of Pinnacle Financial Wealth… Read More »
