Multiple investor complaints against Westlake Village, California financial advisor Gaylord Rohloff (CRD# 1542216) allege that he recommended unsuitable investments. Financial...
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Scott Sheehan: DFPG Advisor Lands $475K Complaint
A recent investor complaint against Cornwall-on-Hudson, New York financial advisor Scott Sheehan (CRD# 2328614) alleges that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with DFPG Investments, and that he is the Managing Partner of 1031 Investment Services.
Mark Carter: $500K Complaint Against Ex-Pruco Advisor
Former Charlotte, North Carolina financial advisor Mark Carter (CRD# 6387371) allegedly made unauthorized trades, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he was registered as a broker with Pruco Securities, doing business as Carter Financial Group, until he resigned from the firm in connection with alleged rule violations.
Louis Wargo: Osaic Advisor Receives $137K Complaint
Brecksville, Ohio financial advisor Louis Wargo (CRD# 1416101) has received multiple investor complaints alleging that he recommended unsuitable alternative investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Osaic Wealth.
Rosaline Alam: FINRA Bars Former Pruco Advisor
Former Claremont, California financial advisor Rosaline Alam (CRD# 5742202) was recently barred in connection with alleged rule violations. Financial Industry Regulatory Authority records show that she was most recently registered as a broker with Lincoln Investment, having previously been registered with Pruco Securities.
Tom Moran: $1 Million Complaint Against Wells Fargo Advisor
A recent investor complaint against Naples, Florida financial advisor Tom Moran (CRD# 709062) alleges that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Wells Fargo broker is currently registered as an investment advisor with Moran Wealth Management.
Craig Bonn: Harley Capital Advisor Faces $500K Complaint
Westport, Connecticut financial advisor Craig Bonn (CRD# 2280460) allegedly committed sales practice violations, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker registered with The Harley Capital, having previously been registered with National Securities Corporation.
Jayson Decandia: MassMutual Denies $100K Complaint Against Advisor
Fairfield, New Jersey financial advisor Jayson Decandia (CRD# 5090632) recently received an investor complaint alleging that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with MML Investors Services, or MassMutual.
James Paige: $1mm-$2mm Complaint Against Wells Fargo Advisor
Vero Beach, Florida financial advisor James Page (CRD# 1726609) has received multiple investor complaints alleging that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker Wells Fargo Clearing Services and an investment advisor with Wells Fargo Advisors.
John Eggleton: Foster Financial Advisor Faces $450K REIT Complaint
Dallas, Texas financial advisor John Eggleton (CRD# 4954717) recently received an investor complaint alleging that he recommended an unsuitable investment. Financial Industry Regulatory Authority records show that he is registered as a broker with Ameritas Investment Company and an investment advisor with Ameritas Advisory Services, doing business as Foster Financial Group.
Pamela McWhorter: Newbridge Advisor Fired by Edward Jones
Suffolk, Virginia financial advisor Pamela McWhorter (CRD# 1137851) was recently fired by Edward Jones in connection with allegations that she violated firm policies and procedures. Financial Industry Regulatory Authority records show that she is now registered as a broker with Newbridge Securities Corporation and an investment advisor with Newbridge Financial Services Group.
