Pasadena, California financial advisor Aaron Liu (CRD# 6085987) allegedly misrepresented an investment, according to a recent investor complaint. Financial Industry...
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Rodney Rich: Complaint Against Ameriprise Advisor Settles for $928K
Bellevue, Washington financial advisor Rodney Rich (CRD# 714642) recently received an investor complaint that reached a settlement of more than $900,000. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Ameriprise Financial Services, having previously been registered with MetLife Securities.
Brian Nelson: $180K REIT Complaint Against StoneX Advisor
A recent investor complaint against Youngstown, Ohio financial advisor Brian Nelson (CRD# 3026585) alleges 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 StoneX Securities and StoneX Advisors, respectively.
Tejinder Singh: FINRA Investigates Reliance Capital Advisor
Half Moon Bay, California financial advisor Tejinder Singh (CRD# 2547590) allegedly violated Financial Industry Regulatory Authority rules, according to a recent investigation. FINRA records show that he is registered as a broker with Reliance Capital Management Advisors.
Larry Feldmesser: Stifel Advisor Receives 6-Figure Complaint
A recent investor complaint against Washington, DC financial advisor Larry Feldmesser (CRD# 1848547) alleges that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Stifel Nicolaus & Company.
Robb Herje: Northland Advisor Lands REIT Complaint
A recent investor complaint against Minneapolis financial advisor Robb Herje (CRD# 1496687) alleges that he misrepresented and recommended unsuitable real estate investment trusts. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Northland Securities and Northland Asset Management, respectively.
Bill Carlton: SEC Alleges Cherry-Picking Fraud by Ex-Cetera Advisor
Former Bellevue, Washington financial advisor Bill Carlton (CRD# 1215541) was recently charged in connection with allegations that he defrauded customers in a cherry-picking scheme. Financial Industry Regulatory Authority records show that he was most recently registered as a broker and an investment advisor with Cetera.
Jason Lowther: $125K Complaint Against Ex-Western Advisor
A recent investor complaint against Quincy, Massachusetts financial advisor Kevin O’Sullivan (CRDQ# 4499275) alleges that an oil and gas investment led to six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Commonwealth Financial Network, doing business as Axial Financial Group.
Stephen Smith: Regions Advisor Faces $200K Complaint
Fort Myers, Florida financial advisor Stephen Smith (CRD# 2632131) 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 Cetera Investment Services and Cetera Investment Advisers, respectively, doing business as Regions Bank.
Patrick Dever: $1 Million Complaint Against Stifel Advisor
West Chester, Pennsylvania financial advisor Patrick Dever (CRD# 2202204) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Stifel Nicolaus & Company.
David Dosik: Why Did Cetera Advisor Resign from SCF Securities?
Northbrook, Illinois financial advisor David Dosik (CRD# 1978544) recently resigned from SCF Securities in connection with alleged policy violations. Financial Industry Regulatory Authority records show that he is now registered as a broker and an investment advisor with Cetera Financial Specialists and Cetera Investment Advisers, respectively.
