Brookfield, Wisconsin financial advisor Peter Glowacki (CRD# 1180975) was recently sanctioned in connection with allegations that he exercised discretion without...
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Hiroshi Mizutani: $200K Bond Complaint Against WIS Advisor
Pasadena, California financial advisor Hiroshi Mizutani (CRD# 3259903) 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 Western International Securities.
Aaron Wilkinson: Edward Jones Advisor Receives $173K Complaint
A recent investor complaint against Goshen, Indiana financial advisor Aaron Wilkinson (CRD# 2756359) 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 Edward Jones.
Barry Marks: Did Merrill Advisor Misappropriate Funds?
Chicago financial advisor Barry Marks (CRD# 704929) allegedly misappropriated customer funds, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch.
Nancy Biddle: $100K Complaint Against Sundial Advisor
St. Pete Beach, Florida financial advisor Nancy Biddle (CRD# 2134532) recently received an investor complaint alleging that her advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Osaic Wealth, and that she is the owner of Sundial Financial Group.
Randy Liggitt: Janney Advisor Fired by Truist
Columbia, South Carolina financial advisor Randy Liggitt (CRD# 2204249) was recently fired by a former broker-dealer firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Truist Investment Services broker is currently registered as a broker and an investment advisor with Janney Montgomery Scott.
Jonmark Richardson: Financial Partners Advisor Faces $219K Complaint
Glendale, Arizona financial advisor Jonmark Richardson (CRD# 4919603) recently received an investor complaint alleging that his conduct resulted in damages exceeding $200,000. Securities and Exchange Commission records show that he is registered as an investment advisor with Valhalla Advisors and a life insurance agent with Financial Partners of America.
Santiago Torres: Did Truist Advisor Misappropriate Funds?
Wyomissing, Pennsylvania financial advisor Santiago Torres (CRD# 5644622) recently received an investor complaint alleging that he misappropriated customer funds. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Truist Investment Services and Truist Advisory Services, respectively.
Jeffrey Lieberman: Morgan Stanley Advisor Lands $2mm Complaint
A recent investor complaint against Los Angeles, California Jeffrey Lieberman (CRD# 1532375) 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 Morgan Stanley.
Richard Jackson: FINRA Suspends Equity Services Advisor
Former New York City financial advisor Richard Jackson (CRD# 2224335) has been sanctioned and suspended in connection with allegations that he violated industry rules. Financial Industry Regulatory Authority records show that he was formerly registered as a broker with Equity Services, which fired him in 2022.
Jon Barter: UBS Advisor Discloses $18 Million Bond Complaint
New York City financial advisor Jon Barter (CRD# 2975538) recently received an investor complaint alleging that his advice resulted in eight-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with UBS Financial Services, whose website describes him as a member of Barter Worden Wealth… Read More »
