A recent investor complaint against Broadview Heights, Ohio financial advisor Richard Ganim (CRD# 2447068) alleges that he violated Regulation Best...
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Ron Cole: Emerson Equity Advisor Lands $100K-$500K Complaint
A recent investor complaint against San Mateo, California financial advisor Ron Cole (CRD# 1434325) alleges that he violated industry rules and regulations. Financial Industry Regulatory Authority records show that he is registered as a broker with Emerson Equity, doing business as Cole 1031 Solutions.
Bill Van Pelt: Ridgeback Advisor Fired by Baldwin Group
Houston, Texas financial advisor Bill Van Pelt (CRD# 1716622) was recently fired by a former broker-dealer firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Baldwin Group representative is registered as a broker with Ridgeback Securities.
Taylor Armstrong: $5mm Complaint Against Aurora Advisor
Kirkland, Washington financial advisor Taylor Armstrong (CRD# 6984140) 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 with Aurora Securities and an investment advisor with Secure Asset Management, doing business as Real Estate Transition Solutions.
Brian Zimmerman: $125K ARC REIT Complaint Against IFG Advisor
A recent investor complaint against San Diego, California financial advisor Brian Zimmerman (CRD# 2401501) alleges that he failed to disclose the risk associated with an investment recommendation. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Independent Financial Group, doing business as Zimmerman Private Wealth… Read More »
Roger Bowlin: $5mm Complaint Against Aurora Securities Advisor
Kirkland, Washington financial advisor Roger Bowlin (CRD# 1905652) has received multiple investor complaints alleging that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Aurora Securities and Secure Asset Management, respectively, doing business as RW Bowlin Investment Solutions.
Steve Franko: FINRA Suspends Independence Capital Advisor
Mt. Vernon, Ohio financial advisor Steve Franko (CRD# 2157707) was recently suspended and fined in connection with allegations relating to the sale of GWG L Bonds. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Independence Capital.
Thomas Scheiman: Independence Capital Advisor Suspended, Fined
Parma, Ohio financial advisor Thomas Scheiman (CRD# 1508288) was recently suspended and fiend in connection with the recommendation of a GWG L Bond. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Independence Capital.
Ashley Romiti: DST Complaint Against Realta, Ex-Emerson Advisor
San Juan Capistrano, California financial advisor Ashley Romiti (CRD# 7636987) recently received an investor complaint alleging that her conduct resulted in damages. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Realta Equities and Realta Investment Advisors, respectively.
Austin Bowlin: Aurora Advisor Faces $1mm Complaint
Kirkland, Washington financial advisor Austin Bowlin (CRD# 5674142) recently received an investor complaint alleging that his advice resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Aurora Securities and an investment advisor with Secure Asset Management, doing business as Real Estate Transition Solutions.
Eva Fernandez: Merrill Advisor Faced Denied Complaint
A recent, denied investor complaint against Virginia Beach, Florida financial advisor Eva Fernandez (CRD# 6289901) alleged that she made unauthorized trades. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Merrill Lynch, having previously been registered with First Command Financial Planning.
