New York City financial advisor Marc Harrison (CRD# 1605568) allegedly violated industry rules, according to an investigation into his conduct....
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Hector Crespo: Complaint Against Aegis Advisor Settles for $335K
Recent investor complaints against Melville, New York financial advisor Hector Crespo (CRD# 3015246) allege that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Aegis Capital Corp.
Chris Brothers: Maxim Group Advisor Faces $1 Million Complaint
Fort Lauderdale, Florida financial advisor Chris Brothers (CRD# 2186156) allegedly recommended unsuitable investments, according to recent investor complaints. Financial Industry Regulatory Authority records show that he is registered as a broker with Maxim Group. Mr. Brothers’ BrokerCheck report discloses four investor complaints. The most recent, filed in July 2024, alleges that as a representative… Read More »
Jeffrey Werdesheim: $940K Complaint Against Oppenheimer Advisor
A recent investor complaint against Los Angeles financial advisor Jeffrey Werdesheim (CRD# 1892046) recently received an investor complaint alleging that his conduct resulted in damages exceeding $900,000. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Oppenheimer & Company.
Tamber Proctor: $324K Complaint Against Proctor Investments Advisor
Waynesboro, Pennsylvania financial advisor Tamber Proctor (CRD# 4316378) recently received an investor complaint alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Securities America broker is registered as an investment advisor with Proctor Investments.
Robert Wise: Wells Fargo Advisor Faces $1 Million Complaint
Tampa, Florida financial advisor Robert Wise (CRD# 5884184) recently received an investor complaint alleging that his advice resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Wells Fargo Clearing Services and Wells Fargo Advisors, respectively.
Brett Wooten: $365K Complaint Against Landmark Financial Advisor
Smyrna, Georgia financial advisor Brett Wooten (CRD# 5928719) recently received an investor complaint alleging more than $300,000 in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Primerica, doing business as Landmark Financial.
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.
