Murray, Utah financial advisor Ray DeWitt (CRD# 2894063) allegedly violated federal securities law, according to a recent investor complaint. Financial...
Read MoreCategory Archives: Uncategorized
Chase Naccarato: $167K Complaint Against CUSO, STCU Advisor
Spokane, Washington financial advisor Chase Naccarato (CRD# 6859373) allegedly recommended an unsuitable investment, according to a recent, six-figure investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with CUSO Financial Services, and that he is a representative of Spokane Teachers Credit Union.
Orion Willis: Prime Wealth Advisor Faces $70K Complaint
Sun City West, Arizona financial advisor Orion Willis (CRD# 4047415) recently received an investor complaint alleging that he misrepresented an illiquid investment. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Centaurus Financial, doing business as Prime Wealth Advisors.
Nick Biddle: $100K Complaint Against Ex-FSC Advisor
St. Pete Beach, Florida financial advisor Nick Biddle (CRD# 4649317) 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 Osaic Wealth, having previously been registered with FSC Securities Corporation and National Planning Corporation.
David Strunc: Sunrise Wealth Advisor Lands $100K Complaint
Orlando, Florida financial advisor David Strunc (CRD# 4766050) 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, doing business as Sunrise Wealth Advisors.
Matt Gehring: Schwab Denies $424K Complaint Against Advisor
A recent, denied investor complaint against Lone Tree, Colorado financial advisor Matt Gehring (CRD# 4814336) alleged that his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Charles Schwab & Company and Schwab Wealth Advisory, respectively, having previously been registered with… Read More »
Jordan Meadow: Ex-Spartan Broker Barred by FINRA
Former New York City financial advisor Jordan Meadow (CRD# 6116538) was recently sanctioned in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was previously registered as a broker with Spartan Capital Securities and that he is a defendant in a pending Securities and Exchange Commission action.
George Terlizzi: $65K Complaint Against SouthPark Advisor
Charlotte, North Carolina financial advisor George Terlizzi (CRD# 5834250) has received multiple investor complaints alleging that his conduct resulted in losses. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that he is registered as an investment advisor with Arkadios Capital, doing business as SouthPark Capital.
Marc Miller: $50K Complaint Against Ex-WIS Advisor
Los Angeles financial advisor Marc Miller (CRD# 1133692) allegedly recommended an unsuitable corporate bond 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 Wedbush Securities, having previously been registered with Western International Securities.
Phil Simonides: $157K Complaint Against Ex-Purshe Kaplan Advisor
Vienna, Virginia financial advisor Phil Simonides (CRD# 1847411) recently received an investor complaint alleging that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Madison Avenue Securities and an investment advisor with McAdam, having previously been registered with Purshe Kaplan Sterling Investments.
Jason Klein: UBS Advisor Faces REIT Complaint
Buffalo, New York financial advisor Jason Klein (CRD# 2038304) recently received an investor complaint alleging that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with UBS Financial Services.
