Former Pittsburgh, Pennsylvania financial advisor Ceondre Colvin (CRD# 7329753) was recently sanctioned by FINRA in connection with alleged rule violations....
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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.
Ray Anthony: $558K Complaint Against Fincadia Advisor
Sunrise, Florida financial advisor Ray Anthony (CRD# 4565686) allegedly misrepresented an investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is currently registered as a broker with Arete Wealth Management, doing business as Fincadia Capital Partners.
Frank Bodi: Asset Strategies Advisor Fired by Landolt Securities
Former Solon, Ohio financial advisor Frank Bodi (CRD# 1107838) was recently fired from a former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Landolt Securities broker is currently registered with Asset Strategies in Lisle, Illinois.
Edward Prince: $140K Complaint Against Moloney Advisor
Kansas City, Missouri financial advisor Edward Prince (CRD# 4647442) recently received an investor complaint alleging that his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Moloney Securities, doing business as Royal Route Company.
