Costa Mesa, California financial advisor Matthew Fetui (CRD# 5511717) recently received an investor complaint alleging that his advice resulted in...
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Sean Sullivan: Why Did Aegis Capital Fire Garden City Advisor?
Aegis Capital recently fired financial advisor Sean Sullivan (CRD# 6283466) in relation to allegations of unauthorized trading. Financial Industry Regulatory Authority records show that the Garden City, New York broker is currently registered with Spartan Capital Securities and has received several investor complaints.
Michael Ohlemacher: FINRA Suspends Ex-W&S Brokerage Services Advisor
The Financial Industry Regulatory Authority suspended Maumee, Ohio financial advisor Michael Ohlemacher (CRD# 5759091) in connection to findings of misconduct. FINRA and Securities and Exchange Commission records show that he was most recently registered as a broker with W&S Brokerage Services and as an investment advisor with Sequent Planning.
Ryan Fleming: REIT Complaint Against Pacific Capital Advisor
Bellevue financial advisor Ryan Fleming (CRD# 4378425) has received investor complaints alleging his investment advice resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Pacific Capital Resource Group, offering securities and advisory services through Royal Alliance Associates.
Shomir Mukherjee: $100K Complaint Against Westlake Village Advisor
An investor complaint against Western International Securities financial advisor Shomir Mukherjee (CRD# 4121898) alleges that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is a broker and investment advisor based in Westlake Village, California.
Zvi Feldman: $800K Complaint Against Former Leumi Advisor
Aventura, Florida financial advisor Zvi Feldman (CRD# 5316260) has received an investor complaint alleging his investment recommendations resulted in six-figure losses. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that he is an investment advisor with 1818 Private Client Services and was formerly a broker with Leumi Investment Services, though he… Read More »
Jonathan Ebel: $100K Complaint Against Network 1 Advisor
Hauppage, New York financial advisor Jonathan Ebel (CRD# 5902719) has received multiple investor complaints alleging his investment advice resulted in five- or six-figure losses. Financial Industry Regulatory Authority records show that he is a broker with Network 1 Financial Securities.
Jon Lee: Investor Files Complaint About Eagle Advisor
Sarasota financial advisor Jon Lee (CRD# 2354294) has received an investor complaint alleging his investment advice resulted in damages of more than half a million dollars. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with AAG Capital, Accurate Wealth Management, and Eagle Wealth Advisors.
Gary DiDonna: Premier Retirement Advisor Has GWG L-Bond Complaint
Investor complaints against Osprey, Florida financial advisor Gary DiDonna (CRD# 1651306) allege that he made unsuitable investment recommendations that resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Spire Securities, doing business as Premier Retirement Asset Management.
Investor Complaint Against Spartan Capital’s Sean Barakat
New York City financial advisor Sean Barakat (CRD# 5031281), also known as Shadi Barakat, recently received an investor complaint alleging he breached his fiduciary duty to the investor. Financial Industry Regulatory Authority records show he is a broker with Spartan Capital Securities.
Josh Westerman: Investor Complaint Against Morgan Stanley Advisor
Fort Lauderdale financial advisor Josh Westerman (CRD# 6838471) has received an investor complaint alleging his investment advice resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Morgan Stanley.
