Torrance, California financial advisor Rod Uy (CRD# 4945992) allegedly made misrepresentations of material facts, according to a recent investor complaint....
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James Gahagan: LPL Advisor Faced $206K Complaint
A recent, closed investor complaint against Santa Cruz, California financial advisor James Gahagan (CRD# 2771502) alleged that an investment recommendation was unsuitable. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, doing business as JP Gahagan Financial Services.
Tim Roark & Will Olinger: Koss-Olinger Advisors Land $1mm Complaint
A recent investor complaint against Gainesville, Florida financial advisors Tim Roark (CRD# 5949136) and Will Olinger II (CRD# 352019) alleges that their conduct resulted in seven-figure damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Valmark Securities brokers are each currently registered as an investment advisor with Koss-Olinger… Read More »
David Kluksdal: 500K Complaint Against Capital Financial Advisor
A recent investor complaint against Boise, Idaho financial advisor David Kluksdal (CRD# 4850332) alleges 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 Cetera Wealth Services and Cetera Investment Advisers, respectively, doing business as Capital Financial Services.
Patricia Holder: Bond Complaint Against Insigneo Advisor
Miami financial advisor Patricia Holder (CRD# 2894768) recently received an investor complaint alleging that her advice resulted in damages. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Insigneo Securities and Insigneo Advisory Services, respectively, doing business Phoenix Private Client Group.
Jared Gudenkauf: $1mm Complaint Against Merrill Advisor
A recent investor complaint against Kansas City, Missouri financial advisor Jared Gudenkauf (CRD# 4591389) alleges that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch.
Simon Joseph: FINRA Sanctions Ex-LPL Advisor
Former Alexandria, Virginia financial advisor Simon Joseph (CRD# 5602157) was recently sanctioned in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker and an investment advisor with LPL Financial, having previously been registered with Momentum Independent Network and Truist Investment Services.
James Walesa: FINRA Files Complaint Against Ex-Arkadios Advisor
Former Park Ridge, Illinois financial advisor James Walesa (CRD# 1061209) was recently named respondent in a complaint alleging that he violated industry rules. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Arkadios Capital, having previously been registered with Triad Advisors.
Brent Ditto: FINRA Suspends LPL/Ditto Financial Advisor
Elizabethtown, Kentucky financial advisor Brent Ditto (CRD# 4779103) was recently sanctioned in connection with allegations he recommended an investment that was not in a customer’s best interest. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, doing business as Ditto Financial Group.
Amber Stoll: $2mm Complaint Against Cetera, Ex-Merrill Advisor
Overland Park, Kansas financial advisor Amber Stoll (CRD# 6937254) recently received an investor complaint alleging that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that she is registered as a broker with Cetera Investment Services and an investment advisor with Cetera Investment Advisers.
Jason Hawke: $200K Complaint Against DH Hill Advisor
Meridian, Idaho financial advisor Jason Hawke (CRD# 4177415) recently received an investor complaint alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with DH Hill Securities and an investment advisor with Hawke Financial Group.
