A recently published news release describes an investigation into allegations that broker-dealer firm Forge Securities (CRD# 134596) played a role...
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Brent Schmidt: FINRA Suspends Harvest Financial Advisor
Delano, Minnesota financial advisor Brent Schmidt (CRD# 3093473) allegedly permitted a business partner to falsify customer records, according to a regulatory sanction. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Cetera, doing business as Harvest Financial Services.
Pedro Ostia-Vega: Raymond James Advisor Suspended
A recent sanction against Oakville, Ontario financial advisor Pedro Ostia-Vega (CRD# 6181372) alleges that he falsified customer signatures. Financial Industry Regulatory Authority records show that he is registered as a broker with Raymond James.
Chris Laffey: $1.6mm Complaint Against Alexander Capital Advisor
Red Bank, New Jersey financial advisor Chris Laffey (CRD# 859962) recently received an investor complaint alleging that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Alexander Capital, having previously been registered with Ladenburg Thalmann & Company.
Marc Harrison: FINRA Investigates Reid & Rudiger Advisor
New York City financial advisor Marc Harrison (CRD# 1605568) allegedly violated industry rules, according to an investigation into his conduct. Financial Industry Regulatory Authority records show that he is registered as a broker with Reid & Rudiger, whose website describes him as a co-founder of the firm.
Robert DeChick: Courtland/Walker Advisor Faces Suitability Complaints
A recent investor complaint against Clemont, Florida financial advisor Robert DeChick (CRD# 4152582) alleges that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with DH Hill, doing business as Courtland/Walker Financial Group.
JP Gobic: Did Morgan Stanley Advisor Misrepresent Investments?
Sarasota, Florida financial advisor JP Gobic (CRD# 4380699) allegedly misrepresented an alternative investment strategy, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Morgan Stanley.
Victor Torres: $150K Complaint Against Equitable Advisor
Fort Lauderdale, Florida financial advisor Victor Torres (CRD# 5919902) has received multiple investor complaints alleging that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker with Equitable Advisors.
Trey Brown: Northwestern Mutual Advisor Faces Complaint
Frisco, Texas financial advisor Trey Brown (CRD# 6170291) recently received an investor complaint alleging that his advice resulted in damages exceeding $100,000. Financial Industry Regulatory Authority records show that he is registered as a broker with Northwestern Mutual Investment Services.
Russ Fieger: $325K Complaint Against Ex-Crown Capital Advisor
Overland Park, Kansas financial advisor Russ Fieger (CRD# 4122326) recently received an investor complaint alleging that he recommended an unsuitable alternative investment. Financial Industry Regulatory Authority records show that he is registered as a broker with Colorado Financial Service Corporation and an investment advisor with Cornerstone Securities.
Wes McKnight: $220K GWG Complaint Against Level Four Advisor
A recent investor complaint against Nacogdoches, Texas financial advisor Wes McKnight (CRD# 2522904) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker with Level Four Financial and the owner of McKnight Financial.
