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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Jason Doneth: Ameriprise Advisors Faces $100K Complaint
Salem, Oregon financial advisor Jason Doneth (CRD# 4696330) recently received an investor complaint alleging that he recommended an unsuitable annuity. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Ameriprise Financial Services.
Sanjay Mathur: Suitability Complaint Against RBC Advisor
A recent investor complaint against Irvine, California financial advisor Sanjay Mathur (CRD# 1144243) alleges that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with RBC Capital Markets.
Jim Ptacek: Why Did LPL Fire Ta-Check Advisor?
Strongsville, Ohio financial advisor Jim Ptacek (CRD# 1959049) was recently terminated by his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former LPL Financial broker is currently registered as an investment advisor with Ta-Check Financial.
Robert O’Braitis: Complaint Against Landsdowne Advisor Denied
Landsdowne, Virginia financial advisor Robert O’Braitis (CRD# 2124486) allegedly mismanaged investors’ accounts, according to a recent, denied investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Cambridge Investment Research, doing business as Landsdowne Private Wealth Management Group.
Ali Mahlooji: Phoenix Financial Advisor Faces Suitability Complaint
New York City financial advisor Ali Mahlooji (CRD# 4830105) 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 with Phoenix Financial, having previously been registered with National Securities Corporation.
David Gunderson: US Freedom Advisor Faces $1.5mm Complaint
Richardson, Texas financial advisor David Gunderson (CRD# 6191146) has received multiple investor complaints alleging that his conduct resulted in damages exceeding $1 million. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Tobin & Company broker is registered as an investment advisor with US Freedom Capital.
Mark Roberts: $650K Complaint Against Affinity Advisor
Overland Park, Kansas financial advisor Mark Roberts (CRD# 2734867) recently received an investor complaint alleging 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 CreativeOne Securities, doing business as Affinity Asset Management.
Venu Reddy: FINRA Investigates FBS Securities Advisor
McKinney, Texas financial advisor Venu Reddy (CRD# 5125813) allegedly participated in undisclosed private securities transactions, according to an investigation. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former World Choice Securities broker is currently registered as an investment advisor with FBS Securities.
Mitchell Rock: $2mm Complaint Against Rock Financial Advisor
A recent investor complaint against New York City financial advisor Mitchell Rock (CRD# 1451592) 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 Ameriprise Financial Services, whose website describes him as a member of the Rock Financial… Read More »
Chris Gallo: FINRA Suspends Joseph Stone, Ex-Spartan Advisor
New York City financial advisor Christopher Gallo (CRD# 6045888) was recently suspended in connection with allegations of excessive and unsuitable trading. Financial Industry Regulatory Authority records show that he is registered as a broker with Joseph Stone Capital, having previously been registered with Spartan Capital Securities.
