Torrance, California financial advisor Rod Uy (CRD# 4945992) allegedly made misrepresentations of material facts, according to a recent investor complaint....
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Randy Heller: Ex-Ausdal Advisor Listed in Inspired Healthcare Filing
Former Oak Lawn, Illinois financial advisor Randy Heller (CRD# 1209975) was recently sanctioned and barred in connection with alleged client impersonations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Ausdal Financial Partners, having previously been registered with KCD Financial.
Ricky Biel: Favor Wealth Advisor Listed in Inspired Healthcare Filing
Pasadena, California financial advisor Ricky Biel (CRD# 4123346) has been sanctioned and fined in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Arete Wealth Management broker is currently registered as an investment advisor with Favor Wealth Advisors.
Mark Sitter: Chasewood Advisor Named in Inspired Healthcare Filing
A recent, closed investor complaint against Shenandoah, Texas financial advisor Mark Sitter (CRD# 1810591) alleged that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with KCD Financial, doing business as Chasewood Wealth Management.
Elaine Zito: Ex-Newbridge Advisor Named in Inspired Healthcare Form D
Former Scottsdale, Arizona financial advisor Elaine Zito (CRD# 2849238) recently received an investor complaint alleging that her conduct resulted in six-figure damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that she was most recently registered as a broker with Newbridge Securities Corporation and an investment advisor with Portsmouth-SmartLife Financial Group.
Brian Cantel: BFC Advisor Named in Inspired Healthcare Filing
A recent investor complaint against Flowery Branch, Georgia financial advisor Brian Cantel (CRD# 1743229) alleges that his advice resulted in 7-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Berthel Fisher & Company, doing business as Cantel Wealth Management.
James Lamont: Ex-Whitehall Broker Named in Inspired Healthcare Filing
Former San Francisco financial advisor James Lamont (CRD# 2846228) has received multiple investor complaints alleging that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he was most recently registered as a broker and an investment advisor with Whitehall-Parker Securities.
Jennifer Li: Misrepresentation Complaint Against Agile Advisor
Atlanta, Georgia financial advisor Jennifer Li (CRD# 4871851) allegedly misrepresented material facts, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is registered as a broker with Arkadios Capital and an investment advisor with Arkadios Wealth Advisors, doing business as Agile Advisory.
Tim Dorothy: Raymond James Advisor Faced Suitability Complaint
Atlanta, Georgia financial advisor Tim Dorothy (CRD# 6600401) 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 and an investment advisor with Raymond James & Associates.
Gary Frisch: $112K Complaint Against Landmark Advisor
A recent investor complaint against Surprise, Arizona financial advisor Gary Frisch (CRD# 5037164) alleges that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Cetera Wealth Services and an advisor with Cetera Investment Advisers, doing business as Landmark Financial.
Ann Reagan: Landmark Advisor Faces 6-Figure Complaint
Surprise, Arizona financial advisor Ann Reagan (CRD# 5597215) allegedly made unauthorized trades, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Cetera, doing business as Landmark Financial Advisors.
