A recent investor complaint against Broadview Heights, Ohio financial advisor Richard Ganim (CRD# 2447068) alleges that he violated Regulation Best...
Read MoreAuthor Archives: chase@carlson-law.com
Ron Botello: FINRA Suspends Platinum Wealth Advisor
Former San Antonio, Texas financial advisor Ron Botello (CRD# 4809045) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Osaic Wealth, doing business as Platinum Wealth Solutions of Texas.
Phillip Falk: Emerson Advisor Faces Investor Complaint
McKinney, Texas financial advisor Phillip Falk (CRD# 2372997) recently received an investor complaint alleging that his conduct violated industry rules and standards. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Emerson Equity.
Brett Frum: $1mm-$5mm Complaint Against KCD Advisor
A recent investor complaint against Tarpon Springs, Florida financial advisor Brett Frum (CRD# 2175253) alleges that his advice resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with KCD Financial.
Christina Lee: JP Morgan Advisor Receives $90mm Complaint
San Francisco, California financial advisor Christina Lee (CRD# 7318401) recently received an investor complaint alleging damages of more than $90 million. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with JP Morgan Securities.
Richard Huppert: Cetera Advisor Faces $4.7mm Complaint
Brooklyn, New York financial advisor Richard Huppert (CRD# 2375483) recently received an investor complaint alleging that his advice resulted in damages exceeding $4 million. Financial Industry Regulatory Authority records show that he is registered as a broker with Cetera Wealth Services.
Mood ElAwadi: $1.5mm Complaint Against Wells Fargo Advisor
A recent investor complaint against Orlando, Florida financial advisor Mood ElAwadi (CRD# 5319152) alleges that his advice resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Wells Fargo Clearing Services and an investment advisor with Wells Fargo Advisors.
Easterly ROCMuni Investors Have Recovery Options
Did you suffer financial losses investing in the Easterly ROCMuni High Income Municipal Bond Fund? If you held positions in this fund, you may have experienced a dramatic decline in your portfolio value, with the fund losing approximately 69% of its value over the last year. While all investments carry some degree of risk,… Read More »
Chong Zhang: Ameriprise Advisor Faces $2mm Complaint
Rancho Cucamonga, California financial advisor Chong Zhang (CRD# 6444001) recently received an investor complaint alleging that her conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Ameriprise Financial Services.
Chris Rogers: $500K Complaint Against Ridgegate Advisor
A recent investor complaint against Englewood, Colorado financial advisor Chris Rogers (CRD# 4453653) alleges that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Emerson Equity and an investment advisor with Ridgegate Advisors.
Peyton Ethridge: Patrick Capital Advisor Faces Suitability Complaint
Atlanta, Georgia financial advisor Peyton Ethridge (CRD# 6634147) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Patrick Capital Markets, doing business as Corvi Capital.
