Houston, Texas financial advisor Kim Tran (CRD# 5575725) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry...
Read MoreAuthor Archives: chase@carlson-law.com
Todd Cohen: $200K Complaint Against Aegis Advisor
Melville, New York financial advisor Todd Cohen (CRD# 2918824) allegedly made misrepresentations of material facts, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Aegis Capital.
Abebi Stafford: $569K Complaint Against Ameriprise Advisor
New Brighton, Minnesota financial advisor Abebi Stafford (CRD# 6550592) recently received an investor complaint alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he registered as a broker and an investment advisor with Ameriprise Financial Services.
Javier Naselli: $5mm Complaint Against Ex-UBS Advisor
A recent investor complaint against Miami, Florida financial advisor Javier Naselli (CRD# 2425401) alleges that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Creand Securities, having previously been registered with UBS Financial Services.
Craigg McRae: FINRA Suspends Ex-Wells Fargo Advisor
Elma, New York financial advisor Craigg McRae (CRD# 4697209) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Wells Fargo broker is currently registered as an investment advisor with International Assets Investment Management.
Marcus Decker: $250K Complaint Against LPL, Ex-MetLife Advisor
Fort Mill, South Carolina financial advisor Marcus Decker (CRD# 5200728) recently received an investor complaint alleging that his advice resulted in damages exceeding $200,000. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial.
Matt Ward: $499K Complaint Against AGP Advisor
A recent investor complaint against Santa Monica, California financial advisor Matt Ward (CRD# 2075525) 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 Alliance Global Partners.
Denise Osadchuk: Southern Wealth Advisor Faced Complaint
A recent, denied investor complaint against Thibodaux, Louisiana financial advisor Denise Osadchuk (CRD# 6285199) alleged that her conduct resulted in damages. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Osaic Wealth, doing business as Southern Wealth Strategies.
Amad Owidi: Ex-Wells Fargo Advisor Lands Trading Complaint
A recent investor complaint against Houston, Texas financial advisor Amad Owidi (CRD# 5335079) alleges that he made unauthorized trades. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Raymond James & Associates, having previously been registered with Wells Fargo.
Wolfgang Suess: DST Complaint Against Ex-Great Point Advisor
Chicago, Illinois financial advisor Wolfgang Suess (CRD# 5255922) recently received an investor complaint alleging that he recommended an unsuitable investment. Financial Industry Regulatory Authority records show that he is registered as a broker with Quincy Wells Capital and an investment advisor with Quincy Wells Advisors, doing business as Capitalize Wealth Management.
Laurie Ingwersen: Ex-Harvest Group Advisor Faced $556K Complaint
Waltham, Massachusetts financial advisor Laurie Ingerwsen (CRD# 4066323) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is registered as a broker with AW Securities and an investment advisor with Allworth Financial.
