Murray, Utah financial advisor Ray DeWitt (CRD# 2894063) allegedly violated federal securities law, according to a recent investor complaint. Financial...
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Tyler Childs: Options Complaint Against UBS Advisor
Birmingham, Michigan financial advisor Tyler Childs (CRD# 6057499) recently received an investor complaint alleging that an options trading strategy resulted in losses. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with UBS Financial Services.
Robert Jones: $300K Complaint Against Edward Jones Advisor
Russellville, Alabama financial advisor Robert Jones (CRD# 4469629) recently received an investor complaint alleging that his conduct resulted in damages of $300,000. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Edward Jones.
Jamie Nowakowski: Advanced Wealth Strategies Advisor Lands Complaints
Recent investor complaints against Hebron, Connecticut advisor Jamie Nowakowski (CRD# 4472043) allege that her investment recommendations led to six-figure damages. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Equitable Advisors, having previously been registered with Coastal Equities. She is also the owner of Advanced… Read More »
Traci Marchi: $370K Fraud Complaint Against Morgan Stanley Advisor
Tucson, Arizona financial advisor Traci Marchi (CRD# 3149504) recently received an investor complaint alleging that she engaged in elder abuse and unjust enrichment. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Morgan Stanley.
Dean & Michael Meniktas: UBS Advisors Face $1mm Complaint
A recent investor complaint against Walnut Creek, California financial advisors Dean (CRD# 2553748) and Michael Meniktas (CRD# 3186445) alleges that they recommended an investment that resulted in damages exceeding $1 million. Financial Industry Regulatory Authority records show that each is registered as a broker and an investment advisor with UBS Financial Services, whose website… Read More »
Harrison Chang: $600K Complaint Against Ex-WIS Advisor
Laguna Hills, California financial advisor Harrison Chang (CRD# 4183646) recently received an investor complaint alleging that he recommended an unsuitable corporate bond investment. Financial Industry Regulatory Authority records show that he is registered as a broker with Innovation Partners and an advisor with IP Advisory Services.
Len Hirsh: SEIA, Ex-Osaic Advisor Lands $600K Complaint
A recent investor complaint against Los Angeles financial advisor Len Hirsch (CRD# 4216156) alleges that his investment strategies resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Signature Estate Securities and an investment advisor with Signature Estate & Investment Advisors.
SEC Fraud Charges Against South Bay Acquisitions, John Matson
South Bay Acquisitions and its principal John Matson allegedly defrauded investors in a Ponzi scheme, according to SEC charges filed in July. Filed in the United States District Court for the Southern District of California, the SEC’s complaint alleges that Matson (CRD# 1796541) and his company “made unregistered offerings of securities and raised more… Read More »
SEC Settles GWG L Bond Charges Against Geoffrey Wolterstorff, LifeMark
The Securities and Exchange Commission (SEC) announced that it settled charges against LifeMark Securities and its advisor Geoffrey Wolterstorff (CRD# 2711805) relating to the sale of GWG L bonds. The SEC administrative proceeding, released in July, found that both the firm and Mr. Wolterstorff “failed to comply with Regulation Best Interest by recommending L… Read More »
Farzad Raufi: $120K Complaint Against Former Merrill Advisor
San Jose financial advisor Farzad Raufi (CRD# 6943330) recently received an investor complaint alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Fidelity Brokerage Services and an investment advisor with Fidelity Personal and Workplace Advisors, having previously been registered with Merrill… Read More »
