Melbourne, Florida financial advisor John Becker (CRD# 5928771) allegedly failed to follow a customer’s instructions, according to a recent investor...
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Earl Newsome: Ex-NEXT Advisor Faces $198K Complaint
Spring, Texas financial advisor Earl Newsome (CRD# 2436856) 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 and an investment advisor with LPL Financial, having previously been registered with NEXT Financial Group.
Frank DiMartini: Altitude Capital Advisor Faces Reg D Complaint
A recent complaint against Newport Beach, California financial advisor Frank DiMartini (CRD# 4512897) alleges that he made misrepresentations regarding investment opportunities. Financial Industry Regulatory Authority records show that he is registered as a broker with Altitude Capital Group, having previously been registered with Alexander Capital.
Ryan Finch: $542K Complaint Against Tangible Wealth Advisor
A recent investor complaint against Greenwood, Colorado financial advisor Ryan Finch (CRD# 6379871) 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 Emerson Equity, doing business as Tangible Wealth Solutions.
Thomas Rohn: $100K GWG Complaint Against Moloney Advisor
Indianapolis, Indiana financial advisor Thomas Rohn (CRD# 1306805) allegedly recommended an unsuitable investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Moloney Securities, doing business as Planned Investment Company.
Matthew Copley: $688K Complaint Against Copley Financial Advisor
San Diego, California financial advisor Matthew Copley (CRD# 6247665) has received multiple investor complaints alleging that he violated industry rules and regulations. Financial Industry Regulatory Authority records show that he is registered as a broker with Emerson Equity and an investment advisor with Copley Financial Group.
Raphael Fernando: REIT Complaint Against Cetera, Ex-BOK Advisor
Houston, Texas financial advisor Raphael Fernando (CRD# 4469669) has received more than 60 investor complaints alleging that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Cetera Investment Services and Cetera Investment Advisers, respectively, having previously been registered with BOK… Read More »
Soyoung Yom: NYLife Advisor Faces Investor Complaint
Los Angeles, California financial advisor Soyoung Yom (CRD# 4243462) recently received an investor complaint alleging that her conduct resulted in damages. Financial Industry Regulatory Authority records show that she is registered as a broker with NYLife Securities.
Joe Gamez: Raymond James Advisor Barred over Alleged Misappropriation
Former San Antonio financial advisor Joe Gamez (CRD# 4292479) was recently sanctioned and barred in connection with the alleged misuse of customer funds. Financial Industry Regulatory Authority records show that he was most recently registered as a broker and an investment advisor with Raymond James.
David Franklin: Integral Wealth Advisor Barred by FINRA
Former New York City financial advisor David Franklin (CRD# 5236215) was recently sanctioned and barred in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Integral Wealth Securities.
Roger Turcotte: Cetera Advisor Faced Unauthorized Trading Complaint
A recent, closed investor complaint against Tampa, Florida financial advisor Roger Turcotte (CRD# 1180997) alleged that he made unauthorized trades. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Cetera Investment Services and Cetera Investment Advisors, respectively.
