Former Woodbury and Melville, New York financial advisor Keith D’Agostino (CRD# 2837860) was recently sanctioned and suspended in connection with...
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Nicholas Cipriano: Prospera Advisor Fired by Morgan Stanley
Solana Beach, California financial advisor Nicholas Cipriano (CRD# 5366684) was recently terminated from a former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority show that the former Morgan Stanley broker and investment advisor is currently registered with Prospera Financial Services.
Marc Minor: $75K Complaint Against Legacy Investment Advisor
Naples, Florida financial advisor Marc Minor (CRD# 2230271) allegedly made unauthorized trades, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Osaic Wealth, and that he is the president of Legacy Investment Services.
Rick Lopez: Arkadios, Ex-LPL Advisor Faces Suitability Complaint
A recent investor complaint against McAllen, Texas financial advisor Rick Lopez (CRD# 2209385) alleges that he recommended an unsuitable investment. Financial Industry Regulatory Authority records show that he is currently registered as a broker with Arkadios Capital and an investment advisor with Arkadios Wealth Advisors, having previously been registered with LPL Financial.
Rick LaSpaluto: Centaurus Advisor Denies Suitability Complaint
Las Vegas, Nevada financial advisor Rick LaSpaluto (CRD# 2541603) recently received an investor complaint alleging that his advice resulted in losses. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Centaurus Financial, doing business as LaSpaluto Financial Planners.
Grant Carodine: $600K Complaint Against Edward Jones Advisor
Huntsville, Alabama financial advisor Grant Carodine (CRD# 6691250) 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 Edward Jones.
James Norris: Baird Advisor Lands 6-Figure Complaint
Ashland, Kentucky financial advisor James Norris (CRD# 1054381) recently received an investor complaint alleging that his conduct resulted in six-figure losses. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Robert W. Baird & Company.
Bruce Hartzmark: Oppenheimer Advisor Faces $500K Complaint
A recent investor complaint against Beachwood, Ohio financial advisor Bruce Hartzmark (CRD# 1106323) allegedly recommended a private placement that resulted in six-figure damages, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Oppenheimer & Company.
Cindy Ghattas: $1mm Complaint Against Creative Planning Advisor
Charlotte, North Carolina financial advisor Cindy Ghattas (CRD# 5342109) recently received an investor complaint alleging that her conduct resulted in seven-figure damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Waddell & Reed broker is currently registered as an investment advisor with Creative Planning.
Piers Cornelius, Hamid Derbani, Raphael Correa, Tim Hawkins: JP Morgan Advisors Face Complaint
San Francisco financial advisors Piers Cornelius (CRD# 4212172), Tim Hawkins (CRD# 5800637), Hamid Derbani (CRD# 6899972), and Raphael Correa (CRD# 7453023) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that each is currently registered as a broker and an investment advisor with JP Morgan Securities.
Lifetrade Investors Alleged Fraud by S&P, Wells Fargo
A group of investors launched a class action lawsuit against defendants including the Standard & Poor’s Global and Wells Fargo Bank, according to a 2017 Reuters report, alleging negligence and misconduct in connection with the “failed life-settlement fund” Lifetrade. As the report states, Lifetrade was a Curacao-based entity that suffered losses of “at least… Read More »
