Former Arden Hills, Minnesota financial advisor Nicholas Stovall (CRD# 5581487) was recently sanctioned and barred in connection with allegations that...
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Jeremy Burch: Wells Fargo Advisor Resigns, Joins Merrill
Miami, Florida financial advisor Jeremy Burch (CRD# 4073551) recently resigned from Wells Fargo while under review for concerns involving his conduct. Financial Industry Regulatory Authority records show that he is now registered as a broker and an investment advisor with Merrill Lynch.
Fridtjov Markussen: AMJ Financial Advisor Faces $150K Complaint
A recent investor complaint against Leesburg, Virginia financial advisor Fridtjov Markussen (CRD# 4323396) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Osaic Wealth and an investment advisor with AMJ Financial Wealth Management.
Conrad Corcoran: Centaurus Advisor Faces Suitability Complaints
Anaheim, California financial Conrad Corcoran (CRD# 1009857) allegedly recommended unsuitable and high-risk investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Centaurus Financial, doing business as Catalina Investments.
Beck Giyazov: Wells Fargo Advisor Allegedly Misled Investor
A recent investor complaint against Los Angeles financial advisor Beck Giyazov (CRD# 5511723) alleges that his advice resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Wells Fargo Clearing Services and Wells Fargo Advisors, respectively.
Jack Bailey: FINRA Investigates Bailey & Co. Advisor
Brentwood, Tennessee financial advisor Jack Bailey (CRD# 5708044) was recently investigated in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is registered as a broker with Bailey & Company Securities.
Johnathan Sawaged: Quint Advisor Fired by B. Riley
Poughkeepsie, New York financial advisor Johnathan Sawaged (CRD# 7061837) was recently terminated from a former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former B. Riley Wealth Management broker is currently registered as an investment advisor with Quint Investments and Insurance.
Kristopher Aubrey: CS Planning Advisor Fired by Edward Jones
Lafayette, Louisiana financial advisor Kristopher Aubrey (CRD# 6995271) was fired by his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Edward Jones broker is currently registered as an investment advisor with CS Planning Corporation.
Greg Ritter: $135K Complaint Against Family Financial Advisor
Delaware, Ohio financial advisor Greg Ritter (CRD# 3087358) allegedly violated securities industry rules and regulations, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Emerson Equity, doing business as Family Financial of Central Ohio.
Andy Huang: Glendale Securities Advisor Faces $580K Complaint
Brooklyn, New York financial advisor Andy Huang (CRD# 3268328) recently received an investor complaint that alleges conversion of funds and unjust enrichment. Financial Industry Regulatory Authority records show that he is registered as a broker with Glendale Securities and that he has previously been sanctioned by FINRA.
Patrick Moriarty: Aegis Advisor Fired by UBS Financial
Newton, Massachusetts financial advisor Patrick Moriarty (CRD# 4764378) was recently fired from a former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former UBS Financial Services broker is currently registered as an investment advisor with Aegis Capital.
