Poughkeepsie, New York financial advisor Johnathan Sawaged (CRD# 7061837) was recently terminated from a former member firm in connection with...
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Brittani Schaefer: Ex-Arete Advisor Faces $100K Complaint
Creve Couer, Missouri financial advisor Brittani Schaefer (CRD# 6327801) recently received an investor complaint alleging six-figure damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Arete Wealth Management broker is registered as an investment advisor with RFG Advisory.
Stephen Fortin: $70K Oil & Gas Complaint Against Ex-Lincoln Advisor
Cincinnati, Ohio financial advisor Stephen Fortin (CRD# 2320006) 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 Cambridge Investment Research, and that he is a representative of Three Corners Capital.
Cyndi Smith: Merrill Lynch Advisor Faces Suitability Complaint
Fort Myers financial advisor Cyndi Smith (CRD# 2386038) recently received an investor complaint alleging that her advice resulted in losses. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Merrill Lynch.
Rodney Rich: Complaint Against Ameriprise Advisor Settles for $928K
Bellevue, Washington financial advisor Rodney Rich (CRD# 714642) recently received an investor complaint that reached a settlement of more than $900,000. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Ameriprise Financial Services, having previously been registered with MetLife Securities.
Brian Nelson: $180K REIT Complaint Against StoneX Advisor
A recent investor complaint against Youngstown, Ohio financial advisor Brian Nelson (CRD# 3026585) 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 StoneX Securities and StoneX Advisors, respectively.
Tejinder Singh: FINRA Investigates Reliance Capital Advisor
Half Moon Bay, California financial advisor Tejinder Singh (CRD# 2547590) allegedly violated Financial Industry Regulatory Authority rules, according to a recent investigation. FINRA records show that he is registered as a broker with Reliance Capital Management Advisors.
Larry Feldmesser: Stifel Advisor Receives 6-Figure Complaint
A recent investor complaint against Washington, DC financial advisor Larry Feldmesser (CRD# 1848547) alleges 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 Stifel Nicolaus & Company.
Robb Herje: Northland Advisor Lands REIT Complaint
A recent investor complaint against Minneapolis financial advisor Robb Herje (CRD# 1496687) alleges that he misrepresented and recommended unsuitable real estate investment trusts. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Northland Securities and Northland Asset Management, respectively.
Bill Carlton: SEC Alleges Cherry-Picking Fraud by Ex-Cetera Advisor
Former Bellevue, Washington financial advisor Bill Carlton (CRD# 1215541) was recently charged in connection with allegations that he defrauded customers in a cherry-picking scheme. Financial Industry Regulatory Authority records show that he was most recently registered as a broker and an investment advisor with Cetera.
Jason Lowther: $125K Complaint Against Ex-Western Advisor
A recent investor complaint against Quincy, Massachusetts financial advisor Kevin O’Sullivan (CRDQ# 4499275) alleges that an oil and gas investment led to six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Commonwealth Financial Network, doing business as Axial Financial Group.
