Former Melville, New York financial advisor Brian Court (CRD# 2591547) has been sanctioned and suspended in connection with alleged rule...
Read MoreCategory Archives: Uncategorized
James Paige: $1mm-$2mm Complaint Against Wells Fargo Advisor
Vero Beach, Florida financial advisor James Page (CRD# 1726609) has received multiple investor complaints alleging that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker Wells Fargo Clearing Services and an investment advisor with Wells Fargo Advisors.
John Eggleton: Foster Financial Advisor Faces $450K REIT Complaint
Dallas, Texas financial advisor John Eggleton (CRD# 4954717) 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 Ameritas Investment Company and an investment advisor with Ameritas Advisory Services, doing business as Foster Financial Group.
Pamela McWhorter: Newbridge Advisor Fired by Edward Jones
Suffolk, Virginia financial advisor Pamela McWhorter (CRD# 1137851) was recently fired by Edward Jones in connection with allegations that she violated firm policies and procedures. Financial Industry Regulatory Authority records show that she is now registered as a broker with Newbridge Securities Corporation and an investment advisor with Newbridge Financial Services Group.
Don Meccia: Morgan Stanley Advisor Faces Trading Complaint
A recent investor complaint against Santa Fe financial advisor Don Meccia (CRD# 1433435) alleges that he made unauthorized transactions. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Morgan Stanley, having previously been registered with Merrill Lynch.
Kyle Kim: Leaders Group Advisor Fired by LPL
Littleton, Colorado financial advisor Kyle Kim (CRD# 2446395) was recently fired from LPL Financial in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is now registered as a broker with The Leaders Group and an investment advisor with The Private Client Advisory Group.
Mike Wetrich: Regulators Censure Great Plains Wealth Advisor
Sioux Falls, South Dakota financial advisor Mike Wetrich (CRD# 2842343) was recently censured in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with UBS Financial Services, whose website describes him as a Senior Vice President with Great Plains Wealth Management.
Bruce Stark: Aegis Denies $71K Margin Complaint Against Advisor
A recent, denied investor complaint against Melville, New York financial advisor Bruce Stark (CRD# 2912344) alleged that he recommended the unsuitable use of margin. Financial Industry Regulatory Authority records show that he is registered as a broker advisor with Aegis Capital.
Steven Sharp: Did Wells Fargo Advisor Make Unauthorized Transfer?
Jackson, Mississippi financial advisor Steven Sharp (CRD# 3178563) recently received an investor complaint alleging that he made an unauthorized transfer. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Wells Fargo Clearing Services and Wells Fargo Advisors, respectively.
Parker Brean: Hilltop Advisor Faces Excessive Trading Complaint
A recent investor complaint against San Diego financial advisor Parker Brean (CRD# 5507026) alleges that he made excessive trades. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Hilltop Securities.
Dick Hagan: $400K Complaint Against MassMutual Advisor
Wauwatosa, Wisconsin financial advisor Dick Hagan (CRD# 2392157) allegedly made an unauthorized transaction, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with MML Investors Services, or MassMutual.
