Milwaukee, Wisconsin financial advisor Kirk Thode (CRD# 5138682) resigned from his former member firm in connection with alleged misconduct. Financial...
Read MoreCategory Archives: Uncategorized
Steve Lundquist: Suitability Complaint Against SRT Wealth Advisor
A recent investor complaint against Springville, Utah financial advisor Steve Lundquist (CRD# 1970958) alleges that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker with Centaurus Financial, doing business as SRT Wealth Partners.
Matt Nadeau: $180K Complaint Against Kingswood Advisor
A recent investor complaint against Roseville, California financial advisor Matt Nadeau (CRD# 4637541) reached a six-figure settlement. Financial Industry Regulatory Authority records show that he is registered as a broker with Kingswood Capital Partners and an investment advisor with Kingswood Wealth Advisors.
John Moriarty: $700K Complaint Against Madison Avenue Advisor
Kirkwood, Missouri financial advisor John Moriarty (CRD# 2720704) recently received an investor complaint alleging that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Madison Avenue Securities and an investment advisor with Transce3nd, doing business as E3 Wealth.
Rich Tegge: $500K Complaint Against Wealth Strategy Group Advisor
Marquette, Michigan financial advisor Rich Tegge (CRD# 2948506) recently received an investor complaint alleging that he failed to act in a customer’s best interest. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, doing business as Wealth Strategy Group.
Todd Cohen: $200K Complaint Against Aegis Advisor
Melville, New York financial advisor Todd Cohen (CRD# 2918824) allegedly made misrepresentations of material facts, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Aegis Capital.
Abebi Stafford: $569K Complaint Against Ameriprise Advisor
New Brighton, Minnesota financial advisor Abebi Stafford (CRD# 6550592) recently received an investor complaint alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he registered as a broker and an investment advisor with Ameriprise Financial Services.
Javier Naselli: $5mm Complaint Against Ex-UBS Advisor
A recent investor complaint against Miami, Florida financial advisor Javier Naselli (CRD# 2425401) alleges that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Creand Securities, having previously been registered with UBS Financial Services.
Craigg McRae: FINRA Suspends Ex-Wells Fargo Advisor
Elma, New York financial advisor Craigg McRae (CRD# 4697209) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Wells Fargo broker is currently registered as an investment advisor with International Assets Investment Management.
Marcus Decker: $250K Complaint Against LPL, Ex-MetLife Advisor
Fort Mill, South Carolina financial advisor Marcus Decker (CRD# 5200728) recently received an investor complaint alleging that his advice resulted in damages exceeding $200,000. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial.
Matt Ward: $499K Complaint Against AGP Advisor
A recent investor complaint against Santa Monica, California financial advisor Matt Ward (CRD# 2075525) alleged 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 Alliance Global Partners.
