Murray, Utah financial advisor Ray DeWitt (CRD# 2894063) allegedly violated federal securities law, according to a recent investor complaint. Financial...
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Aaron Rask: Suitability Allegations Against Ex-NYLife Advisor
A recent investor complaint against Broomfield, Colorado financial advisor Aaron Rask (CRD# 5960444) alleges that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker with MML Investors Services, also known as MassMutual, having previously been registered with NYLife Securities.
Peter Chow: Cetera Advisor Lands Suitability Complaint
Arcadia, California financial advisor Peter Chow (CRD# 6125403) recently received an investor complaint alleging that his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Cetera Investment Services, having previously been registered with Citigroup Global Markets.
Matt Mitcham: Cambridge Advisor Fined by Alabama Securities Commission
Pell City, Alabama financial advisor Matt Mitcham (CRD# 5481389) is the subject of a regulatory action alleging that his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Cambridge Investment Research.
Chi-I Huang: $350K Complaint Against Integral Financial Advisor
A recent investor complaint against San Jose, California financial advisor Chi-I Huang (CRD# 5387713) alleges that her conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that she is registered as a broker with Integral Financial.
Chad Noble: $90K Complaint Against Ameriprise, Ex-FSC Advisor
A recent investor complaint against The Villages, Florida financial advisor Chad Noble (CRD# 4774817) alleges misconduct relating to alternative investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Ameriprise Financial Services.
Scott Jackson: $100K Complaint Against JW Cole/KASE Advisor
Tampa, Florida financial advisor Scott Jackson (CRD# 4443921) allegedly misrepresented investments, according to an investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with JW Cole, and that he is a representative of KASE Wealth Advisors.
Mark Connolly, Donna Bromfield-Day & Amanda Sosa: $964K Complaint
Fort Worth, Texas financial advisors Mark Connolly (CRD# 4443644), Donna Bromfield-Day (CRD# 5480459), and Amanda Sosa (CRD# 5526300) recently received an investor complaint alleging unauthorized trades. Financial Industry Regulatory Authority records show that they are each registered as a broker and an investment advisor with Wells Fargo.
Carlson Law Investigating Failed Marijuana Deal Nature’s Wonder
Carlson Law, P.A. is investigating a failed investment in a marijuana business, ACP Investments, LLC believed to be doing business as Nature’s Wonder, which raised money from investors through ATX Global Co-Invest Wellness Consolidation, LP. It appears money was raised for the deal by Prime Capital Financial and ATX Venture Partners, including investment advisor Matt Nelson. Carlson Law… Read More »
Brett Vetensky: $100K Complaint Against Janney Advisor
Garden City, New York financial advisor Brett Vetensky (CRD# 4143000) made unauthorized trades, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Janney Montgomery Scott, having previously been registered with Wells Fargo Clearing Services.
Joanna Wang: $495K REIT Complaint Against LPL Advisor
LPL Financial advisor Joanna Wang (CRD# 4056171) recently received an investor complaint alleging various forms of misconduct in connection with the sales of non-traded real estate investment trusts (REITs). Financial Industry Regulatory Authority records show that she was previously registered with Prudential Investments, which recently integrated with LPL, in Lake Barrington, Illinois.
