Costa Mesa, California financial advisor Matthew Fetui (CRD# 5511717) recently received an investor complaint alleging that his advice resulted in...
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GWG L-Bond Complaint Against Intervest’s Jonathan Ellefson
Harker Heights, Texas financial advisor Jon Ellefson (CRD# 1625977) has received investor complaints alleging his advice resulted in six-figure losses. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Intervest International Equities Corporation, doing business as Ellefson & Associates.
Christopher Fusco: $310K Complaint Against Ex-Joseph Stone Advisor
Former Mineola, New York financial advisor Christopher Fusco (CRD# 5981205) has received an investor complaint alleging his advice resulted in losses. Financial Industry Regulatory Authority records show that he is not currently registered as a broker or as an investment adviser, though he was most recently registered with Joseph Stone Capital.
New REIT Complaint Against Flushing Advisor Chang Vung
Recent investor complaints against Cetera Investment Services financial advisor Chang Vung (CRD# 5347816) allege unsuitable investment recommendations and other forms of fraud. Financial Industry Regulatory Authority records show that Ms. Vung is a broker based in Flushing, New York.
Fariba Madison: $300K Bond Complaint Against Los Alamitos Advisor
Western International Securities financial advisor Fariba Madison (CRD# 1178259) has received investor complaints alleging her investment advice resulted in losses, in one case six-figure losses. Financial Industry Regulatory Authority records show that she is a broker and investment adviser based in Los Alamitos, California.
Glen Cole: Ex-Moloney Advisor Denies Investor Complaint
Investor complaints against former Manchester, Missouri financial advisor Glen Cole (CRD# 1999588) allege that his investment advice resulted in six-figure losses. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Moloney Securities, though he is no longer registered as a broker.
Lon Faccini: Churning Complaints Against Staten Island Advisor
Arive Capital Markets financial advisor Lon Faccini (CRD# 2736849) has received investor complaints alleging six-figure damages. Financial Industry Regulatory Authority records show that he is a broker based in Staten Island, New York.
Wade Papas: $200K ARC NYC Complaint Against Forte Advisor
Investor complaints against New York City financial advisor Wade Papas (CRD# 2933979) allege he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is a representative of National Securities Corporation, doing business as Forte Capital Group.
Philip Connors: FINRA Alleges Churning by Ex-Worden Advisor
The Financial Industry Regulatory Authority is investigating Philip Connors (CRD# 5274094), a financial advisor last based in Point Pleasant Beach, New Jersey. Financial Industry Regulatory Authority records show that he was most recently a broker with Monmouth Capital Markets and was previously registered with Worden Capital Management.
Franz Lambert: FINRA Suspends Ex-Spartan Capital Advisor
Former Spartan Capital Securities financial advisor Franz Lambert (CRD# 4463792) has been suspended over allegations he excessively traded in a senior customer’s account. Financial Industry Regulatory Authority records show that he was last registered as a broker in New York City.
Shirley Wong: GWG L Bond Complaint Against NI Advisors Rep
Daly City financial advisor Shirley Wong (CRD# 4869184) has received investor complaints alleging she recommended unsuitable investments, including a GWG L bond. Financial Industry Regulatory Records show that she is a broker and an investment advisor with NI Advisors. She is also the president of AK Advisors.
