Oak Park, California financial advisor Debra Cappos (CRD# 1287041) allegedly mis-managed a customer’s account, according to a denied investor complaint....
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Joy Simar: $203K Complaint Against LPL/Pruco Advisor
McKinney, Texas financial advisor Joy Simar (CRD# 6147731) recently received an investor complaint alleging that her conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with LPL, which recently launched a strategic partnership with Prudential.
Dan Schmid: Why Did Advisor Resign from Northwestern Mutual?
Minneapolis, Minnesota financial advisor Dan Schmid (CRD# 6658306) recently resigned from Northwestern Mutual Investment Services in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is now registered as a broker with Equitable Advisors.
Ozzie Ramos: $80K Bond Complaint Against WIS Advisor
Westlake Village, California financial advisor Ozzie Ramos (CRD# 2572345) 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 Western International Securities, having previously been registered with Citigroup Global Markets.
Bob Westbrook: Cetera Advisor Faces Suitability Complaint
Scottsdale, Arizona financial advisor Bob Westbrook (CRD# 1189454) recently received an investor complaint alleging that he made unsuitable investment recommendations. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Cetera Advisor Networks, as well as a representative of Westbrook Financial Services.
Scott Meador: $1mm Complaint Against UBS Advisor
Naples, Florida financial advisor Scott Meador (CRD# 2202512) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with UBS Financial Services.
Michael Sandberg: Aegis Advisor Fired by Ameriprise
Boca Raton financial advisor Michael Sandberg (CRD# 1949867) was recently fired by Ameriprise Financial Services in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is now registered as a broker and an investment advisor with Aegis Capital Corporation.
Richard Michalski: Laidlaw Advisor Faces $399K Complaint
New York City financial advisor Richard Michalski (CRD# 4588706) recently received an investor complaint alleging that his conduct resulted in damages exceeding $300,000. Financial Industry Regulatory Authority records show that he is registered as a broker with Laidlaw & Company, and that he has previously been sanctioned by the Securities and Exchange Commission.
Brandon Capps: Velocity Wealth Advisor Lands $750K Complaint
A recent investor complaint against Claremont, California financial advisor Brandon Capps (CRD# 4990930) alleges that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Park Avenue Securities, doing business as Velocity Wealth Management.
Peter Waldron: $1mm Complaint Against Wells Fargo Advisor
A recent investor complaint against Irvine, California financial advisor Peter Waldron (CRD# 4230510) alleges 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 Services.
Clifford Reid: FINRA Investigates Reid & Rudiger Advisor
New York City financial advisor Clifford Reid (CRD# 1905920) is under investigation for allegedly excessive trading. Financial Industry Regulatory Authority records show that he is registered as a broker with Reid & Rudiger, and that he has received multiple investor complaints alleging that he made excessive trades.
