First Liberty Building & Loan, LLC and its founder-owner Edwin Brant Frost IV allegedly orchestrated a Ponzi scheme in which...
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Justin Roberto: Tesfaye Advisor Fired by MassMutual
Alexandria, Virginia financial advisor Justin Roberto (CRD# 7235058) was recently fired from his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former MML Financial Services broker is currently registered as an investment advisor with Tesfaye O’Neill Financial.
Rajesh Jyotishi: Shalin Financial Advisor Faces Suitability Complaint
Norcross, Georgia financial advisor Rajesh Jyotishi (CRD# 2204676) 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 Dempsey Lord Smith, doing business as Shalin Financial Services.
Jason Weese: Merrill Advisor Lands Investor Complaint
Bellevue, Washington financial advisor Jason Weese (CRD# 2288375) recently received an investor complaint alleging that his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch, having previously been registered with Morgan Stanley.
Dennis Carter: Fraud Complaint Against NYLife Advisor
Las Vegas, Nevada financial advisor Dennis Carter (CRD# 6216944) allegedly facilitated a fraudulent scheme, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with NYLife Securities.
Joel Goldberg: Dempsey Advisor Receives Suitability Complaint
Dalton, Georgia financial advisor Joel Goldberg (CRD# 6590746) recently received an investor complaint alleging that he provided unsuitable investment advice. Financial Industry Regulatory Authority records show that he is registered as a broker with Dempsey Lord Smith.
Derek Ober: Did Northwestern Advisor Mislead Investor?
Sarasota, Florida financial advisor Derek Ober (CRD# 6634902) 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 Northwestern Mutual Investment Services.
Christopher Gill: Cambridge Advisor Received $352K Complaint
Newark, Ohio financial advisor Christopher Gill (CRD# 4126704) allegedly misappropriated fees, 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 Cambridge Investment Research and Cambridge Investment Research Advisors, respectively.
Steven Syslo: UBS Advisor Faced Misappropriation Complaint
A recent, denied investor complaint against Paramus, New Jersey financial advisor Steven Syslo (CRD# 4308992) alleged that he stole funds from a customer’s account. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with UBS Financial Services.
Noah Alweiss: Suitability Complaint Against Morgan Stanley Advisor
Miami, Florida financial advisor Noah Alweiss (CRD# 5902252) recently received an investor complaint alleging that he made unsuitable recommendations. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Morgan Stanley.
Chris Peitz: Calton Advisor Faces Misappropriation Allegations
A regulatory investigation into Mitchell, South Dakota financial advisor Chris Peitz (CRD# 2050559) concerns allegations that he misappropriated funds. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Calton & Associates, doing business as Independent Financial Center.
