Centerville, Ohio financial advisor James Ratliff (CRD# 1669731) was recently fired by his former member firm in connection with alleged...
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Jase Simmons: Alexander Capital Advisor Lands $19mm Complaint
A recent investor complaint against Red Bank, New Jersey financial advisor Jase Simmons (CRD# 2438224) alleges that he violated multiple industry rules, resulting in eight-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Alexander Capital.
Charles Darling: Morgan Stanley Advisor Receives $15mm Complaint
Gilbert, Arizona financial advisor Charles Darling (CRD# 7334110) allegedly recommended an unsuitable investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Morgan Stanley.
Lisa Hallaian: 6-Figure Complaint Against Cambridge Advisor
Newport Beach, California financial advisor Lisa Hallaian (CRD# 1485651) recently received an investor complaint alleging that she made unsuitable investment recommendations. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Cambridge Investment Research.
Chad McQuade: Northwestern Mutual Advisor Faces $400K Complaint
A recent investor complaint against Oak Brook, Illinois financial advisor Chad McQuade (CRD# 5436281) alleges that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Northwestern Mutual Investment Services.
Gustavo Sanchez: $10mm Complaint Against Ex-Arkadios Advisor
Lake Mary, Florida financial advisor Gustavo Sanchez (CRD# 5946258) recently received an investor complaint alleging that his conduct resulted in eight-figure damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Arkadios Capital broker is currently registered as an investment advisor with Zafiro.
Gilbert Conrad: FINRA Suspends Former Realta Advisor
Former Lewiston, New York financial advisor Gilbert Conrad (CRD# 2746778) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was last registered as a broker with Realta Equities, doing business as Princeton Equity.
Deyon Robertson: FINRA Suspends Former Finalis Advisor
Former New York City financial advisor Deyon Robertson (CRD# 7493659) has been suspended in connection with allegedly improper investment recommendations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Finalis Securities and is no longer registered as a broker.
Craig Sturges: Lifemark Advisor Faces $99K Complaint
Thousand Oaks, California financial advisor Craig Sturges (CRD# 1315735) allegedly recommended an unsuitable investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Lifemark Securities.
Randy Snook: Suitability Complaint Against Beth Moores Advisor
A recent investor complaint against Cedar Rapids, Iowa financial advisor Randy Snook (CRD# 2878437) alleges that he violated industry rules, resulting in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Cetera, operating as a representative of Beth Moores Financial.
Greg Singletary: Merrill Lynch Advisor Lands Suitability Complaint
Clearwater, Florida financial advisor Greg Singletary (CRD# 718580) recently received an investor complaint alleging that he violated industry rules. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch.
