New York City financial advisor Dan Schapiro (CRD# 2335244) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial...
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Mitchell Pindus: Wells Fargo Advisor Lands $200K Complaint
Los Angeles financial advisor Mitchell Pindus (CRD# 1268550) recently received an investor complaint alleging that his investment recommendations resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Wells Fargo.
Cameron Clark: Suitability Complaint Against Members Financial Advisor
Albuquerque, New Mexico financial advisor Cameron Clark (CRD# 5010604) recently received an investor complaint alleging that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with LPL Financial, doing business as Members Financial Services
Troy Brown: Edward Jones Advisor Receives Investor Complaint
Oklahoma City financial advisor Troy Brown (CRD# 2262142) allegedly breached his fiduciary duty to a client, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Edward Jones.
Rich Pascale: Classic Benefit Planners Advisor Faces $340K Complaint
A recent investor complaint against Massapequa Park, New York financial advisor Rich Pascale (CRD# 3221955) alleges that his conduct resulted in damages exceeding $300,000. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with LifeMark Securities. He is also a representative of Classic Benefit Planners.
Elias Aziz: Ex-Morgan Stanley Advisor Lands Suitability Complaint
A recent investor complaint against Houston, Texas financial advisor Elias Aziz (CRD# 4545016) alleges that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that the former Morgan Stanley advisor is currently registered as a broker with UBS Financial Services.
Ariel Rivero: FINRA Sanctions Former Jeffries Advisor
Coral Gables, Florida financial advisor Ariel Rivero (CRD# 4236679) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is currently registered as a broker with Insigneo Securities and an investment advisor with Insigneo Advisory Services. He was previously registered with Jeffries.
Joshua Cox: $80K Complaint Against LPL Advisor
Greenwood Village, Colorado financial advisor Joshua Cox (CRD# 6137037) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with LPL Financial, doing business as Everest Wealth Advisors.
Paul Snow: NewEdge Advisor Resigned from Raymond James
Former Covington, Louisiana broker Paul Snow (CRD# 2963153) recently resigned from Raymond James Financial Services in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is currently registered as an investment advisor with NewEdge Advisors, doing business as Snow Financial Group.
Russell Andersen: Northern Trust Advisor Faces $5mm Complaint
Bonita Springs, Florida financial advisor Russell Andersen (CRD# 2288717) recently received an investor complaint alleging that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Northern Trust Securities.
John Yin: Ex-Cetera Advisor Faces $500k-$1mm Complaint
City of Industry, California financial advisor John Yin (CRD# 3249933) 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 Packerland Brokerage Services, having previously been registered with Cetera Investment Services.
