Centerville, Ohio financial advisor James Ratliff (CRD# 1669731) was recently fired by his former member firm in connection with alleged...
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Don Pittman: Advisor Fired by Edward Jones
Former Lubbock, Texas financial advisor Don Pittman (CRD# 7119777) was recently fired from his prior member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Edward Jones representative is not currently registered as a broker or an investment advisor.
Steve Story: United Planners Advisor Received Complaint
A recent, withdrawn investor complaint against Ogden, Utah financial advisor Steve Story (CRD# 2574091) alleges that he forged a customer’s signature. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with United Planners’ Financial Services of America, doing business as Steve Story and Associates.
Craig Roy: Why Was LPL Advisor Fired by Edward Jones?
Baton Rouge, Louisiana financial advisor Craig Roy (CRD# 6834029) was recently terminated from a former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Edward Jones representative is currently registered as a broker and an investment advisor with LPL Enterprise.
Charles Chan: $108K Complaint Against Cetera Advisor
Lexington, Kentucky financial advisor Charles Chan (CRD# 2894827) 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 Wealth Services and Cetera Investment Advisers, respectively.
Christopher Labadie: $55K ETF Complaint Against Livingston Advisor
A recent investor complaint against Clearwater, Florida financial advisor Christopher Labadie (CRD# 4696143) alleges that he recommended an unsuitable investment strategy. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, doing business as Livingston Financial Group.
Darrick Hutchens: Monon Advisor Landed GWG Complaint
Carmel, Indiana financial advisor Darrick Hutchens (CRD# 4497161) allegedly breached his fiduciary duty in connection with a GWG L Bonds investment, according to a recent investor complaint. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Purshe Kaplan Sterling broker is currently registered as an investment advisor with Monon… Read More »
Rick Umbarger: Raymond James Advisor Faced $186K Complaint
A recent, denied investor complaint against Newport Beach, California financial advisor Rick Umbarger (CRD# 3132496) alleged that he breached his fiduciary duty. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Raymond James & Associates.
Ittai Dvir: $120K REIT Complaint Against Sentinel Advisor
North Bethesda, Maryland financial advisor Ittai Dvir (CRD# 5692050) allegedly made an unsuitable investment recommendation, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Independent Financial Group, doing business as Sentinel Financial Group.
Hunter Jones: $475K DST Complaint Against Great Point Advisor
A recent investor complaint against Lakewood, Colorado financial advisor Hunter Jones (CRD# 5169688) alleges that he recommended an unsuitable Delaware Statutory Trust investment. Financial Industry Regulatory Authority records show that he is registered as a broker with Great Point Capital.
Brady Lipp: $1mm Fraud Complaint Against NI Advisor
Milpitas, California financial advisor Brady Lipp (CRD# 1359835) recently received an investor complaint alleging that he committed fraud. Financial Industry Regulatory Authority records show that he is registered as a broker with NI Advisors and that he is the Principal Managing Director of One Alpha North Capital.
