San Juan, Capistrano financial advisor Ben Carmona (CRD# 5120428) allegedly violated industry rules, according to a recent six-figure investor complaint....
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Robert Rose: $1mm Complaint Against Wells Fargo Advisor
Tampa, Florida financial advisor Robert Rose (CRD# 2874342) recently received an investor complaint alleging that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Wells Fargo Clearing and Wells Fargo Advisors, respectively.
Bo Nicholson: Cetera Advisor Lands $100K-$500K GWG Complaint
A recent investor complaint against Raleigh, North Carolina financial advisor Bo Nicholson (CRD# 6050450) concerns an investment in GWG L Bonds. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Capital Investment Group and Capital Investment Advisory Services, respectively.
Cameron Woodbury: Elder Abuse Complaint Against Archangel Advisor
Apple Valley, California financial advisor Cameron Woodbury (CRD# 6242348) recently received an investor complaint alleging that he engaged in unfair business practices. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Centaurus Financial, doing business as Archangel Financial.
Annette Kitchen: Equitable Advisor $350K Investor Complaint
Newport, Kentucky financial advisor Annette Kitchen (CRD# 4417535) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Equitable Advisors.
Jared Skemp: Key Advisor Lands Annuity Complaint
Warren, Pennsylvania financial advisor Jared Skemp (CRD# 4203805) recently received an investor complaint alleging that he misrepresented annuity investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Key Investment Services, having previously been registered with LPL Financial.
Hau Tran: $479K Complaint Against TransAmerica Advisor
El Paso financial advisor Hau Tran (CRD# 2906135) allegedly sold unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that Mr. Tran is registered as a broker and an investment advisor with TransAmerica Financial Services, having previously been registered with World Group Securities.
Derrick Watts: Ex-B. Riley Advisor Faces $3mm Complaint
A recent investor complaint against Chicago financial advisor Derrick Watts (CRD# 2479608) alleges that his advice resulted in seven-figure damages. Financial Industry Regulatory Authority records show that the former B. Riley Wealth Management representative is currently registered as a broker and an investment advisor with Packerland Brokerage Services.
Thad Allen: $104K Complaint Against Ex-Edward Jones Advisor
Topeka, Kansas financial advisor Thad Allen (CRD# 5644772) recently received an investor complaint alleging that his conduct resulted in damages exceeding $100,000. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Smith Moore & Company, having previously been registered with Edward Jones.
Peter Shen: $440K REIT Complaint Against IFG Advisor
San Diego financial advisor Peter Shen (CRD# 5769894) has received multiple investor complaints alleging that his investment advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Realta Equities, having previously been registered with NI Advisors and Independent Financial Group.
Christian De Berardinis: Aperture Advisor Suspended by FINRA
West Palm Beach, Florida financial advisor Christian De Berardinis (CRD# 4312327) was recently suspended by FINRA in connection with alleged unapproved private offerings. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Morgan Stanley broker is currently registered as an investment advisor with Aperture Advisors.
