Former Cobleskill, New York financial advisor Meredith Webber (CRD# 2435263) was recently named in a pending enforcement action. Financial Industry...
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Brian Cote: $1 Million Complaint Against Ex-Triad Advisor
A recent investor complaint against Nashville financial advisor Brian Cote (CRD# 4218494) alleged that his conduct resulted in damages of more than $1 million. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Gramercy Park Wealth Advisors (GPWA), having previously been registered with Triad Advisors.
Andrew Murdoch: Somerset Advisor Faces $168K iCap Complaint
Portland, Oregon financial advisor Andrew Murdoch (CRD# 4348536) recently received an investor complaint in connection with an iCap Equities private placement. Financial Industry Regulatory Authority records show that he is currently registered as a broker with Somerset Securities and was previously an investment advisor with Somerset Wealth Management.
Cheryl Kitashima: Bond Complaint Against Centaurus Advisor
Seattle financial advisor Cheryl Kitashima (CRD# 729389) allegedly recommended an unsuitable investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with Centaurus Financial, doing business as Kitashima Wealth Advisors.
Kathryn Hackney: SchoolsFirst Advisor Faces $150K REIT Complaint
Orange, California financial advisor Kathryn Hackney (CRD# 1548894) recently received an investor complaint alleging that she recommended unsuitable REITs. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with LPL Financial, doing business as SchoolsFirst Investment Services.
Eric Elek: Mutual Fund Complaint Against Elek Wealth Advisor
A recent investor complaint against Ligonier, Pennsylvania financial advisor Eric Elek (CRD# 3062911) alleges that he churned investments in mutual funds. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Commonwealth Financial Network. He is also the owner and president of Elek Wealth Management.
Phillip Atteberry: Creative Planning Advisor Lands $5mm Complaint
Redmond, Oregon financial advisor Phillip Atteberry (CRD# 4247195) recently received an investor complaint alleging that he committed fraud resulting in seven-figure damages. Securities and Exchange Commission records show that he is an investment advisor registered with Creative Planning, having previously been registered with Gupta Wealth Management.
Financial Advisors Are Now Paying College Athletes Through NIL
In the last few months, I have seen evidence of at least three financial advisory firms offering NIL endorsement deals to college athletes. In other words, the financial advisor is paying the athlete for an endorsement. There are likely additional firms doing the same already and it will almost certainly become a new trend… Read More »
Josh Bradley: $100K Complaint Against Ex-Voya Advisor
Columbia, South Carolina financial advisor Josh Bradley (CRD# 5174430) recently received an investor complaint alleging that he recommended an unsuitable investment. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Voya Financial advisor is currently registered with Capital City Financial Partners.
Dan King: FINRA Sanctions Ex-Newbridge Advisor over Margin Trades
San Diego financial advisor Dan King (CRD# 5954543) was recently sanctioned and suspended in connection with allegations of unsuitable margin trading. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Kingswood Capital Partners and Kingswood Wealth Advisors, respectively.
Jim Geake: REIT Complaints Against Madison Avenue Advisor
Skokie financial advisor Jim Geake (CRD# 2629008) has received investor complaints alleging that he recommended unsuitable alternative investments, including NorthStar Healthcare REIT and Hospitality Investors Trust. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Madison Avenue Securities, doing business as Wayne Messmer & Associates.
