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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Matt Hiss: Legacy Financial Advisor Faces $125K GWG Complaint
Atwood, Kansas financial advisor Matt Hiss (CRD# 5386963) allegedly misrepresented an investment in GWG L bonds, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with IFP Securities and an investment advisor with Independent Financial Partners, doing business as Legacy Financial Solutions.
Zach Taylor: $426K Complaint Against Saxony Capital Advisor
Newport Beach, California financial advisor Zach Taylor (CRD# 6074776) allegedly made unauthorized trades and committed elder abuse, according to a recent investor complaint. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Saxony Securities broker, who did business as 9Dot Wealth, is currently an investment advisor with Saxony Capital… Read More »
Gregory Whelan: Merrill Lynch Advisor’s Client Files $2mm Complaint
A recent investor complaint alleges that Fort Lauderdale financial advisor Gregory Whelan (CRD# 5247677) made investment recommendations that 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, where he is a member of MWD Wealth Management Group.
Tyson Allred: $1.5mm Complaint Against Members Financial Advisor
Portland, Oregon financial advisor Tyson Allred (CRD# 3081010) recently received an investor complaint alleging that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with LPL Financial, doing business as Members Financial Services.
John Mateyko: IDEX Advisor Faces $1 Million Bond Complaint
Serenbe, Georgia financial advisor John Mateyko (CRD# 3275621) allegedly recommended unsuitable corporate bonds and structured notes, according to recent investor complaints. Financial Industry Regulatory Authority records show that he is registered as a broker with Peachcap Securities and an investment advisor with Peachcap Tax & Advisory Services. He is also a representative of IDEX… Read More »
Hagin Richeson: $3mm Complaint Against Corinthian Advisor
Multiple investor complaints against Clearwater, Florida financial advisor Hagin Richeson (CRD# 5380166) allege that his conduct resulted in multimillion-dollar damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Corinthian Partners.
Lee Vaughan: Raymond James Fires COVA Wealth Advisor
Brentwood, Tennessee financial advisor Lee Vaughan (CRD# 3162268) was recently fired from Raymond James Financial Services in connection with alleged misconduct. Financial Industry Regulatory Authority records show that he is now registered as a broker and an investment advisor with LPL Financial, doing business as COVA Wealth Management.
Tony Szymborski NettWorth Advisor Received $211K Complaint
A recent, denied investor complaint against Wauwatosa, Wisconsin financial advisor Tony Szymborski (CRD# 4131253) alleged that his advice resulted in damages exceeding $200,000. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Cambridge Investment Research, doing business as NettWorth Financial Group.
Ashley Woodard: $999K Complaint Against Ex-Voya Advisor
Former Greenville, South Carolina financial advisor Ashley Woodard (CRD# 4703144) has received multiple investor complaints alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he was previously registered as a broker with NYLife Securities and Voya Financial Advisors.
Austin Arata: Kinecta Advisor Receives $340K Complaint
Torrance, California financial advisor Austin Arata (CRD# 6448739) allegedly made unauthorized transactions, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, doing business as Kinecta Financial & Insurance Services.
