Lake Mary, Florida financial advisor David Sosa (CRD# 2447013) allegedly made an unauthorized transaction, according to a recent investor complaint....
Read MoreAuthor Archives: chase@carlson-law.com
Elias Aziz: Ex-Morgan Stanley Advisor Lands Suitability Complaint
A recent investor complaint against Houston, Texas financial advisor Elias Aziz (CRD# 4545016) alleges that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that the former Morgan Stanley advisor is currently registered as a broker with UBS Financial Services.
Ariel Rivero: FINRA Sanctions Former Jeffries Advisor
Coral Gables, Florida financial advisor Ariel Rivero (CRD# 4236679) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is currently registered as a broker with Insigneo Securities and an investment advisor with Insigneo Advisory Services. He was previously registered with Jeffries.
Joshua Cox: $80K Complaint Against LPL Advisor
Greenwood Village, Colorado financial advisor Joshua Cox (CRD# 6137037) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with LPL Financial, doing business as Everest Wealth Advisors.
Paul Snow: NewEdge Advisor Resigned from Raymond James
Former Covington, Louisiana broker Paul Snow (CRD# 2963153) recently resigned from Raymond James Financial Services in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is currently registered as an investment advisor with NewEdge Advisors, doing business as Snow Financial Group.
Russell Andersen: Northern Trust Advisor Faces $5mm Complaint
Bonita Springs, Florida financial advisor Russell Andersen (CRD# 2288717) recently received an investor complaint alleging that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Northern Trust Securities.
John Yin: Ex-Cetera Advisor Faces $500k-$1mm Complaint
City of Industry, California financial advisor John Yin (CRD# 3249933) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Packerland Brokerage Services, having previously been registered with Cetera Investment Services.
Derek Martin: 56 Capital Denies $300K Complaint Against Advisor
Colorado Springs financial advisor Derek Martin (CRD# 6059805) recently received an investor complaint alleging that his conduct resulted in losses. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Northwestern Mutual broker is currently registered as an investment advisor with 56 Capital Partners.
Ran Regev: $150K Complaint Against Regev Financial Advisor
Fort Lauderdale financial advisor Ran Regev (CRD# 5469190) allegedly made unsuitable trades, according to a recent six-figure investor complaint. Financial Industry Regulatory Authority records show that the Osaic Wealth broker and investment advisor is also a representative of Regev Financial Services.
David Fields: $400K Complaint Against Pacific Tides Advisor Denied
A recent, denied investor complaint against Solana Beach, California financial advisor David Fields (CRD# 1953457) alleged 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 United Planners’ Financial Services, doing business as Pacific Tides Wealth Management.
Dale Hester: Texas Investigates Calton & Associates Advisor
Canton, Texas financial advisor Dale Hester (CRD# 1992112) is under investigation by state securities authorities for allegations of misconduct. Financial Industry Regulatory Authority records show that he is currently registered as a broker with Calton & Associates and an investment advisor with Dominion Portfolio Management. He is also a representative of Hester Jason CPAs.
