Former Laguna Niguel, California financial advisor Jacob Harper (CRD# 4258319) was recently sanctioned and suspended in connection with alleged rule...
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Raphael Fernando: REIT Complaint Against Cetera, Ex-BOK Advisor
Houston, Texas financial advisor Raphael Fernando (CRD# 4469669) has received more than 60 investor complaints alleging that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Cetera Investment Services and Cetera Investment Advisers, respectively, having previously been registered with BOK… Read More »
Soyoung Yom: NYLife Advisor Faces Investor Complaint
Los Angeles, California financial advisor Soyoung Yom (CRD# 4243462) recently received an investor complaint alleging that her conduct resulted in damages. Financial Industry Regulatory Authority records show that she is registered as a broker with NYLife Securities.
Joe Gamez: Raymond James Advisor Barred over Alleged Misappropriation
Former San Antonio financial advisor Joe Gamez (CRD# 4292479) was recently sanctioned and barred in connection with the alleged misuse of customer funds. Financial Industry Regulatory Authority records show that he was most recently registered as a broker and an investment advisor with Raymond James.
David Franklin: Integral Wealth Advisor Barred by FINRA
Former New York City financial advisor David Franklin (CRD# 5236215) was recently sanctioned and barred in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Integral Wealth Securities.
Roger Turcotte: Cetera Advisor Faced Unauthorized Trading Complaint
A recent, closed investor complaint against Tampa, Florida financial advisor Roger Turcotte (CRD# 1180997) alleged that he made unauthorized trades. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Cetera Investment Services and Cetera Investment Advisors, respectively.
Jon Toerner: Why Was Stifel Advisor Fired by Fidelity?
Austin, Texas financial advisor Jon Toerner (CRD# 7330298) was recently fired by his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Fidelity Brokerage Services representative is registered as a broker and an investment advisor with Stifel Nicolaus & Company.
Christy Lambert: Bridge Wealth Advisor Faced Bond Complaint
A recent, denied investor complaint against Columbus, Ohio financial advisor Christy Lambert (CRD# 1919326) alleged that her advice resulted in losses. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Wells Fargo Advisors.
Bert Mills: $180K Complaint Against Edward Jones Advisor
Mesa, Arizona financial advisor Bert Mills (CRD# 5614645) recently received an investor complaint alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Edward Jones.
Matthew Parker: Why Was Wedbush Advisor Fired by LPL?
Santa Rosa, California financial advisor Matthew Parker (CRD# 6010373) was fired by his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former LPL Financial broker is registered as a broker and an investment advisor with Wedbush Securities.
Susan Butler: Edward Jones Advisor Faces Misappropriation Complaint
Independence, Missouri financial advisor Susan Butler (CRD# 6222652) allegedly misappropriated funds, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Edward Jones.
