Milwaukee, Wisconsin financial advisor Kirk Thode (CRD# 5138682) resigned from his former member firm in connection with alleged misconduct. Financial...
Read MoreCategory Archives: Uncategorized
Denise Osadchuk: Southern Wealth Advisor Faced Complaint
A recent, denied investor complaint against Thibodaux, Louisiana financial advisor Denise Osadchuk (CRD# 6285199) alleged that her conduct resulted in damages. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Osaic Wealth, doing business as Southern Wealth Strategies.
Amad Owidi: Ex-Wells Fargo Advisor Lands Trading Complaint
A recent investor complaint against Houston, Texas financial advisor Amad Owidi (CRD# 5335079) alleges that he made unauthorized trades. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Raymond James & Associates, having previously been registered with Wells Fargo.
Wolfgang Suess: DST Complaint Against Ex-Great Point Advisor
Chicago, Illinois financial advisor Wolfgang Suess (CRD# 5255922) recently received an investor complaint alleging that he recommended an unsuitable investment. Financial Industry Regulatory Authority records show that he is registered as a broker with Quincy Wells Capital and an investment advisor with Quincy Wells Advisors, doing business as Capitalize Wealth Management.
Laurie Ingwersen: Ex-Harvest Group Advisor Faced $556K Complaint
Waltham, Massachusetts financial advisor Laurie Ingerwsen (CRD# 4066323) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is registered as a broker with AW Securities and an investment advisor with Allworth Financial.
Robert Zink: $10mm Complaint Against Whitehall-Parker Advisor
Irvine, California financial advisor Robert Zink (CRD# 5105262) recently received an investor complaint alleging that his conduct resulted in eight-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Emerson Equity, having previously been registered with Whitehall-Parker Securities.
Sung Moo Cho: FINRA Bars Citi Advisor After Misappropriation Complaint
Former New York City financial advisor Sung Moo Cho (CRD# 5015906) was recently sanctioned and barred in connection with misappropriation allegations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Citi, having previously been registered with Ameriprise Financial Services.
Paul McIntyre & Al Dinicola: MSC BD Advisors Face Complaint
Lake Oswego, Oregon financial advisors Paul McIntyre (CRD# 1002368) and Al Dinicola (CRD# 1305518) allegedly recommended unsuitable transactions, according to a six-figure investor complaint. Financial Industry Regulatory Authority records show that each is registered as a broker with MSC BD, and that Mr. McIntyre is also registered as an investment advisor with Fiduciary Capital… Read More »
Steven Arnold & Michael Steinthal: Quincy Advisors Land Complaints
Chicago, Illinois financial advisors Steven Arnold (CRD# 710263) and Michael Steinthal (CRD# 435071) have received investor complaints alleging that their advice resulted in damages. Financial Industry Regulatory Authority records show that each is registered as a broker with Quincy Wells Capital.
Steve Nguyen: Merrill Advisor Faced Misappropriation Complaint
Boston, Massachusetts financial advisor Steve Nguyen (CRD# 6283575) allegedly misappropriated customer funds, according to a recent, denied investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch.
Ryan Yee: Suitability Complaint Against True North Advisor
A recent investor complaint against San Jose, California financial advisor Ryan Yee (CRD# 6327300) alleges that his advice resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Centaurus Financial, doing business as True North Advisors.
