New York City financial advisor Dan Schapiro (CRD# 2335244) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial...
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Derek Martin: 56 Capital Denies $300K Complaint Against Advisor
Colorado Springs financial advisor Derek Martin (CRD# 6059805) recently received an investor complaint alleging that his conduct resulted in losses. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Northwestern Mutual broker is currently registered as an investment advisor with 56 Capital Partners.
Ran Regev: $150K Complaint Against Regev Financial Advisor
Fort Lauderdale financial advisor Ran Regev (CRD# 5469190) allegedly made unsuitable trades, according to a recent six-figure investor complaint. Financial Industry Regulatory Authority records show that the Osaic Wealth broker and investment advisor is also a representative of Regev Financial Services.
David Fields: $400K Complaint Against Pacific Tides Advisor Denied
A recent, denied investor complaint against Solana Beach, California financial advisor David Fields (CRD# 1953457) alleged that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with United Planners’ Financial Services, doing business as Pacific Tides Wealth Management.
Dale Hester: Texas Investigates Calton & Associates Advisor
Canton, Texas financial advisor Dale Hester (CRD# 1992112) is under investigation by state securities authorities for allegations of misconduct. Financial Industry Regulatory Authority records show that he is currently registered as a broker with Calton & Associates and an investment advisor with Dominion Portfolio Management. He is also a representative of Hester Jason CPAs.
Ray Anthony: $558K Complaint Against Fincadia Advisor
Sunrise, Florida financial advisor Ray Anthony (CRD# 4565686) allegedly misrepresented an investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is currently registered as a broker with Arete Wealth Management, doing business as Fincadia Capital Partners.
Frank Bodi: Asset Strategies Advisor Fired by Landolt Securities
Former Solon, Ohio financial advisor Frank Bodi (CRD# 1107838) was recently fired from a former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Landolt Securities broker is currently registered with Asset Strategies in Lisle, Illinois.
Edward Prince: $140K Complaint Against Moloney Advisor
Kansas City, Missouri financial advisor Edward Prince (CRD# 4647442) recently received an investor complaint alleging that his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Moloney Securities, doing business as Royal Route Company.
Gilbert Kuta: Did Aegis Advisor Make Excessive Trades?
Timonium, Maryland financial advisor Gilbert Kuta (CRD# 1084075) recently received an investor complaint alleging that he effected excessive trades. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Aegis Capital, having previously been registered with Capitol Securities Management.
Doug English: ACT Advisor Faces $400K Complaint
Asheville, North Carolina financial advisor Doug English (CRD# 2532448) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that the former LPL Financial broker is currently registered as an investment advisor with ACT Advisors.
Andy Egber: FINRA Bars Ex-Wells Fargo Advisor
Former Bethesda, Maryland financial advisor Andy Egber (CRD# 1894585) was recently sanctioned in connection with allegations of the theft of client funds. Financial Industry Regulatory Authority records show that he was previously registered with Steward Partners Investment Solutions, before which he was registered with Raymond James Financial Services and Wells Fargo Clearing Services.
