Thousand Oaks, California financial advisor Craig Sturges (CRD# 1315735) allegedly recommended an unsuitable investment, according to a recent investor complaint....
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$1mm Complaint Against Asheville Advisor Patrick Chitwood
Chitwood Wealth Management’s Patrick Chitwood allegedly caused $1 million in damages, according to a pending investor complaint. Financial Industry Regulatory Authority Records show that the Asheville, North Carolina broker’s firm offers securities through Triad Advisors.
Suitability Complaint Against Regal Wealth’s Andrew Pincus
Boca Raton and Florham Park broker Andrew Pincus allegedly recommended unsuitable transactions, according to a pending investor complaint. Financial Industry Regulatory Authority records show that he is a representative of LPL Financial, doing business as Regal Wealth Advisors.
Luis Garcia: Miami Advisor Had Suitability Complaint
Luis Garcia (CRD# 4143376), a Miami broker and financial advisor, recently received an investor complaint that was denied by his member firm. Financial Industry Regulatory Authority records show that he is a representative of Oppenheimer & Company.
Mark Kemp: 6-Figure Complaints Against McNally Financial Advisor
Corpus Christi broker and financial advisor Mark Kemp (CRD# 2057200) has received several pending investor complaints alleging more than half a million dollars in damages. Financial Industry Regulatory Authority records show that he is a representative of McNally Financial Services, doing business as Kemp Financial Services.
Andrew Elsoffer: Beachwood Advisor Suspended by FINRA
The Financial Industry Regulatory Authority recently sanctioned ex-Stifel Nicolaus representative Andrew Elsoffer. FINRA and Securities and Exchange Commission records show that Mr. Elsoffer is a financial advisor with International Assets Advisory Management in Beachwood, Ohio.
REIT Complaint Against McFarlin Capital’s Hunter McFarlin
Murfreesboro, Tennessee financial advisor Hunter McFarlin (CRD# 2838151) has received an investor complaint alleging almost $1 million in damages. Financial Industry Regulatory Authorities show that the broker and investment adviser is a representative of McFarlin Capital, offering securities through Arkadios Capital.
Michael Rosalia: $1.6 Million Complaint Against Ex-Worden Advisor
Pending investor complaints against SW Financial broker Michael Rosalia (CRD# 2323953) allege more than $1 million in damages. Financial Industry Regulatory Authority records show that he is registered in Melville, New York, and used to be a representative of Worden Capital Management in Garden City, New York.
Peter Reinecke: $10mm Investor Complaint Against St. Louis Advisor
St. Louis broker and financial advisor Peter Reinecke (CRD# 2085940) has received an investor complaint alleging eight-figure damages. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Saxony Securities and Saxony Capital Management.
Thomas Diamante: FINRA Investigates SW Financial Advisor
The Financial Industry Regulatory Authority is investigating Melville, New York broker Thomas Diamante (CRD# 1645257). FINRA records show that the SW Financial representative allegedly made misrepresentations and engaged in fraud, though he denies the allegations.
Alvery Bartlett: $10 Million Complaint Against Clayton Advisor
A pending investor complaint against Clayton, Missouri broker Alvery Bartlett (CRD# 13975) seeks $10 million in damages. Financial Industry Regulatory Authority records show that the Aegis Capital representative has previously received investor complaints that reached settlements.
