Torrance, California financial advisor Rod Uy (CRD# 4945992) allegedly made misrepresentations of material facts, according to a recent investor complaint....
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Options Overlay Complaints Against UBS Rep Michael Sherman
Financial Industry Regulatory Authority (FINRA) records list several customer complaints connected to New York City-based UBS Financial Services broker and adviser Michael Sherman (CRD# 1031880). The complaints detail allegations concerning an options overlay strategy recommended by the firm, and cumulatively settled for more than $700,000.
Janie Garza-Clark: $950K Complaint Against Barred Scottsdale Rep
A sanction against ex-TCFG Wealth Management stockbroker Janie Garza-Clark (CRD# 1010752) barred her from acting as a broker after she allegedly refused to provide testimony regarding her relationship with a former client. Financial Industry Regulatory Authority records show that the former Scottsdale, Arizona-based securities professional has also received a pending investor complaint alleging nearly… Read More »
Red Bank Advisor Stacy Goldsmith: Private Placement Complaints
Pending investor complaints listed on Herbert J. Sims & Company broker Stacy Goldsmith’s BrokerCheck report allege hundreds of thousands of dollars in losses. Financial Industry Regulatory Authority records show that Ms. Goldsmith (CRD# 1416323) is currently based in Red Bank, New Jersey.
Christopher Passero: GPB Capital Complaint Against Hurricane Rep
A recent enforcement action against Money Concepts Capital Corporation stockbroker Christopher Passero (CRD# 2517681) suspended him over alleged unauthorized payments to customers to compensate them for investment losses. Financial Industry Regulatory Authority records show that he is registered with the firm’s office in Hurricane, West Virginia. The president of the Passero Financial Group, he… Read More »
Joseph Turner: Annuity Allegations Against Ministry Partners Rep
A denied investor complaint against Brea, California broker Joseph Turner (CRD# 2077052) alleged more than $350,000 in damages. Financial Industry Regulatory Authority records show that Mr. Turner is a broker and investment adviser registered with Ministry Partners Securities in Brea and Fresno, California, as well as in Elgin, Illinois.
Bradley Bergdahl: $225K REIT Complaint Against Cando, North Dakota Rep
Cetera Advisor Networks representative Bradley Bergdahl (CRD# 1432349) recently received an investor complaint alleging six-figure losses following an unsuitable recommendation. Financial Industry Regulatory Authority records show that Mr. Bergdahl is affiliated as a broker and investment advisor with the firm’s offices in Cando, Grand Forks, Munich, Cavalier, and Fargo, North Dakota.
Dan Fair: Roanoke Rep Complaint Settled for $250K
Davenport & Company Dan Fair (CRD# 722195) was recently named respondent in an investor complaint that reached a six-figure settlement. Financial Industry Regulatory Authority records show that Mr. Fair is a broker and investment advisor affiliated with the firm’s office in Roanoke, Virginia.
Alfred Czerniewski: $285K Complaint Against Crivitz, Green Bay Rep
Pending investor complaints against FSC Securities Corporation broker Alfred Czerniewski (CRD# 1675035) allege hundreds of thousands of dollars in losses. Financial Industry Regulatory Authority records show that Mr. Czerniewski is a broker and investment adviser in Crivitz, Green Bay, and Brookfield, Wisconsin.
$1 Million Investor Complaint Against Edward Jones Rep Jim Bowdish
Raleigh stockbroker Jim Bowdish (CRD 3123554) allegedly caused at least $1 million in losses, according to a pending investor complaint against him. Financial Industry Regulatory Authority (FINRA) records show that he is a representative of Edward Jones who has previously received customer complaints that were denied by his member firm.
Tri-Star’s Mark Rothstein Has $100,000 REIT Complaint
Tri-Star Financial stockbroker Mark Rothstein (CRD# 1084659), whose firm offers securities through Independent Financial Group, has received a pending investor complaint alleging six-figure losses. Financial Industry Regulatory Authority records show that he is based in El Segundo, California.
