Former New York City financial advisor Deyon Robertson (CRD# 7493659) has been suspended in connection with allegedly improper investment recommendations....
Read MoreCategory Archives: Uncategorized
Gerald Dewes: $1.7MM Complaint Against Ex-Cadaret Grant Rep
A pending investor complaint against former East Amherst, New York broker Gerald Dewes (CRD# 2465538) alleges he made unsuitable recommendations and committed fraud, resulting in losses as high as $1.7 million. Financial Industry Regulatory Authority (FINRA) records reveal that Dewes is currently not registered as a broker or investment adviser, but was most recently… Read More »
Roberto Fernandez: Miami Rep Allegedly Caused $1.2MM Loss
A pending investor complaint against Miami, Florida broker and investment adviser Roberto Fernandez (CRD# 1404389) alleges losses of more than $1 million. According to Financial Industry Regulatory Authority (FINRA) records, Fernandez is currently registered with Merrill Lynch. Roberto Fernandez’s BrokerCheck report lists one pending customer complaint and three settled customer complaints against him. The… Read More »
David Wachsman: Morgan Stanley Broker Has $1.6MM Complaint
A pending customer complaint against Garden City, New York and Boca Raton, Florida broker and investment adviser David Wachsman (CRD# 2220024) alleges his conduct led to damages of more than $1 million. Financial Industry Regulatory Authority (FINRA) records show that Wachsman is currently a registered representative of Morgan Stanley. The complaint, filed in January… Read More »
Wilson Saville: $1.6MM Complaint Against Barrett & Co. Broker
Providence, Rhode Island broker and investment adviser Wilson Saville (CRD# 1406756) has received a complaint alleging supervisory failures resulted in losses of more than $1 million. Financial Industry Regulatory Authority (FINRA) records show that Saville is currently a registered representative of Barrett & Company. According to Wilson Saville’s BrokerCheck report, the complaint was filed… Read More »
Triad’s Mark Just Allegedly Recommended Unsuitable Products
Mark Just (CRD# 1138738), a broker and investment adviser located in Indianapolis, has received investor complaints alleging hundreds of thousands of dollars in losses. Records maintained by the Financial Industry Regulatory Authority (FINRA) show that Just is currently a registered representative of Triad Advisors and The Just Company. Mark Just’s BrokerCheck report lists five… Read More »
R. Douglas Armstrong: Dawson James Broker Has $2MM Complaint
According to digital records maintained by the Financial Industry Regulatory Authority (FINRA), Boca Raton broker R. Douglas Armstrong (CRD# 5236735) recently received an investor complaint alleging losses of $2 million. Armstrong is a representative of Dawson James Securities, where he has been registered since 2012. He has also received other pending or settled complaints…. Read More »
Kurt Jackson: Investor Alleges Kestra Rep Caused $200K Losses
San Luis Obispo broker and investment adviser Kurt Jackson (CRD#: 2913769) recently received a customer complaint alleging his recommendations resulted in six-figure losses. According to records provided by the Financial Industry Regulatory Authority (FINRA), Jackson is currently registered with Commonwealth Financial Network. Kurt Jackson’s BrokerCheck report currently lists one settled customer complaint, one pending… Read More »
George Merhoff: $500,000 Losses Alleged Against Ex-Cetera Rep
Former Klamath Falls, Oregon-based broker and investment adviser George Merhoff (CRD#: 2918171) has received numerous settled or pending customer complaints alleging he made unsuitable investment recommendations to his customers. According to records provided by the Financial Industry Regulatory Authority (FINRA), Merhoff was most recently registered with Cetera Advisors.
Ashley Woodard: Investor Complaints Against Ex-NYLife Broker
Investor complaints against former Greenville, South Carolina broker Ashley Woodard (CRD# 4703144) allege he recommended unsuitable and risky investments that resulted in losses as high as $5 million. Financial Industry Regulatory Authority (FINRA) records show that Woodard is currently not registered as a broker or investment adviser, but he was most recently registered in… Read More »
$5 Million Complaint Against Ex-Voya Broker Jim Flynn
Former Greenville, South Carolina broker and investment advisor Jim Flynn (CRD#: 3082615) has received dozens of settled or pending investor complaints, some alleging damages in the six or seven figures. Flynn was barred from associating with any Financial Industry Regulatory Authority (FINRA) member firm in 2018. Before that, FINRA records show he was a… Read More »
