Multiple investor complaints against Westlake Village, California financial advisor Gaylord Rohloff (CRD# 1542216) allege that he recommended unsuitable investments. Financial...
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Sid Bindra: Suitability Complaints Against Truist Advisor
Tampa, Florida financial advisor Sid Bindra (CRD# 6147537) has received multiple investor complaints alleging that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Truist Investments and an investment advisor with Truist Advisory Services, having previously been registered with BB&T Securities.
Greg Wilson: $1mm Oil & Gas Complaint Against Ortiz Advisor
Whittier, California financial advisor Greg Wilson (CRD# 6849983) recently received an investor complaint alleging that his advice resulted in seven-figure damages. Securities and Exchange Commission records show that he is currently registered as an investment advisor with Ortiz World Wealth, having previously been registered with David Ortiz Advisors.
Wally Less: $254K Complaint Against SouthState Advisor
A recent investor complaint against Savannah, Georgia financial advisor Wally Less (CRD# 5191948) alleges that he approved unauthorized transactions. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, doing business as SouthState Investment Services.
Matt Haverty: RBC Advisor Lands $750K Complaint
Leawood, Kansas financial advisor Matt Haverty (CRD# 4618183) 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 RBC Capital Markets.
Andrew Gentiluomo: $200K Complaint Against Equity Services Advisor
A recent investor complaint against Roanoke, Virginia financial advisor Andrew Gentiluomo (CRD# 4975462) alleges that he committed fraud in connection with certain investments. Financial Industry Regulatory Authority records show that he is registered as a broker with Equity Services and an investment advisor with ESI Financial Advisors, doing business as Gentiluomo FA.
Beatty McDonald: McDonald Partners Advisor Faces FINRA Sanction
Cleveland, Ohio financial advisor Beatty McDonald (CRD# 5126644) allegedly recommended an unsuitable private placement, according to a pending disciplinary action. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor registered with McDonald Partners.
Ronnie Dumag: FINRA Bars Ex-PFS Advisor
Former Sacramento financial advisor Ronnie Dumag (CRD# 4783585) was recently sanctioned in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former PFS Investments broker is not currently registered with any broker-dealer or investment advisory firm.
William & Jonathan Harvey: Janney Advisors Land 6-Figure Complaint
Doylestown, Pennsylvania financial advisor William Harvey (CRD# 2398782) and Jonathan Harvey (CRD# 4558464) recently received an investor complaint alleging that they recommended unsuitable investments. Financial Industry Regulatory Authority records show that each is registered as a broker and an investment advisor with Janney Montgomery Scott.
Nolan Pendleton & Ben Yim: Generational Advisors Face $115K Complaint
Georgia financial advisor Nolan Pendleton (CRD# 5350768) and Ben Yim (CRD# 5835533) recently received an investor complaint that settled for more than $100,000. Financial Industry Regulatory Authority records show that they are both registered with NYLife Securities, doing business as Generational Financial Partners.
Ira Bauman: Raymond James Advisor Receives $220K Complaint
New York City financial advisor Ira Bauman (CRD# 1079115) recently received an investor complaint alleging that his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Raymond James & Associates, whose website shows that he is a representative of the practice… Read More »
