Former Orlando, Florida financial advisor Sherwin Sargeant (CRD# 5096798) has been barred by FINRA in connection with allegations of undisclosed...
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Ray Anthony: $558K Complaint Against Fincadia Advisor
Sunrise, Florida financial advisor Ray Anthony (CRD# 4565686) allegedly misrepresented an investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is currently registered as a broker with Arete Wealth Management, doing business as Fincadia Capital Partners.
Frank Bodi: Asset Strategies Advisor Fired by Landolt Securities
Former Solon, Ohio financial advisor Frank Bodi (CRD# 1107838) was recently fired from a former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Landolt Securities broker is currently registered with Asset Strategies in Lisle, Illinois.
Edward Prince: $140K Complaint Against Moloney Advisor
Kansas City, Missouri financial advisor Edward Prince (CRD# 4647442) recently received an investor complaint alleging that his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Moloney Securities, doing business as Royal Route Company.
Gilbert Kuta: Did Aegis Advisor Make Excessive Trades?
Timonium, Maryland financial advisor Gilbert Kuta (CRD# 1084075) recently received an investor complaint alleging that he effected excessive trades. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Aegis Capital, having previously been registered with Capitol Securities Management.
Doug English: ACT Advisor Faces $400K Complaint
Asheville, North Carolina financial advisor Doug English (CRD# 2532448) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that the former LPL Financial broker is currently registered as an investment advisor with ACT Advisors.
Andy Egber: FINRA Bars Ex-Wells Fargo Advisor
Former Bethesda, Maryland financial advisor Andy Egber (CRD# 1894585) was recently sanctioned in connection with allegations of the theft of client funds. Financial Industry Regulatory Authority records show that he was previously registered with Steward Partners Investment Solutions, before which he was registered with Raymond James Financial Services and Wells Fargo Clearing Services.
Tim Fraser: $2mm Complaint Against LPL/Fraser Wealth Advisor
Woodstock, Illinois financial advisor Tim Fraser (CRD# 4868026) recently received an investor complaint alleging that a variable annuity product resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with LPL Financial, doing business as Fraser Wealth Management.
Buck Jones: REC Complaint Against MML Advisor
A recent investor complaint against Virginia Beach financial advisor Buck Jones (CRD# 6138651) alleges that his investment recommendation caused harm. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with MML Investors Services, also known as MassMutual.
Dave Stephens: MassMutual Advisor Faces REC Complaint
Virginia Beach, Virginia financial advisor Dave Stephens (CRD# 4631818) recently received an investor complaint alleging that his advice resulted in financial harm. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with MassMutual.
Monica Osborne: $200K Complaint Against Avantax, Jones & Roth Advisor
Eugene, Oregon financial advisor Monica Osborne (CRD# 3256608) recently received an investor complaint alleging that her advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that she is currently registered as a broker and an investment advisor with Avantax. She is also a representative of Jones & Roth Financial Advisors.
