Learn how to file a complaint against your financial advisor. Your registered financial advisor – and the firm that employs him or her – is regulated by the Financial Industry Regulatory Authority (FINRA). FINRA provides an online form to allow investors to file a formal complaint against their financial advisor, stockbroker, or brokerage firm. Go [...]
INVESTORS: Moloney Securities Co. broker Robert Morgan Vance was named in customer disputes alleging unsuitable recommendations and negligence. Robert Morgan Vance (CRD: 1887560) is registered as a broker and investment adviser with Moloney Securities Co., where he’s been employed since 2016. Vance was previously registered as a broker with Ridgeway & Conger from 2011 until [...]
INVESTORS: Rockefeller Financial broker Cheryl Lynn Young was named in a customer dispute alleging unsuitable recommendations and excessive trading. Cheryl Lynn Young (CRD: 3065471) is registered as a broker with Rockefeller Financial, where she’s been employed since 2022. Young was previously registered as a broker with Morgan Stanley from 2012 until 2022. Young has four [...]
INVESTORS: Former Joseph Stone Capital broker Christopher Thomas Fusco was named in a customer dispute alleging unsuitable recommendations and excessive trading. Christopher Thomas Fusco (CRD: 5981205) was registered as a broker with Joseph Stone Capital from 2019 until 2020. Fusco was previously registered as a broker with Arive Capital Markets from 2017 until 2019. Fusco [...]
INVESTORS: Former Network 1 Financial Securities broker David Khezri was barred by FINRA following allegations of recommending unsuitable investments. David Khezri (CRD: 2736831) was registered as a broker with Network 1 Financial Securities from 2020 until 2021. Khezri was previously registered as a broker with Worden Capital Management from 2017 until 2020. Khezri has seven [...]
INVESTORS: Cetera Advisors broker Anthony Joseph named in customer disputes alleging unsuitable investment recommendations and negligence. Peter Kyung Hoon Rhee (CRD: 2326728) is registered as a broker and investment adviser with Cetera Advisors, where he’s been employed since 2020. Rhee was previously registered as a broker with First Allied Securities from 2015 until 2022. Rhee [...]
INVESTORS: Former Aegis Capital broker Peter James Fetherson is facing charges from FINRA alleging that he converted and misused customer funds. Peter James Fetherson (CRD: 2108610) was registered as a broker with Aegis Capital in 2020. Fetherson was previously registered as a broker with Principal Securities, Inc. from 2018 until 2020. Fetherson has five disclosures [...]
INVESTORS: Former SW Financial broker Richard Foerster Reynolds is facing a customer dispute alleging churning, excessive commissions, unauthorized trading, unsuitability, negligence, breach of contract, and fraud. Richard Foerster Reynolds (CRD: 2162706) was registered as a broker with SW Financial from 2021 until 2022. Reynolds was previously registered as a broker with Worden Capital Management from [...]
INVESTORS: VCS Venture Securities broker Matthew Gates is facing a pending customer dispute alleging unsuitable investment recommendations and excessive trading. Matthew Gates (CRD: 4727945) is registered as a broker with VCS Venture Securities, where he’s been employed since 2021. Gates was previously registered as a broker with Worden Capital Management LLC from 2020 until 2021. [...]
Investor recovery and securities fraud attorneys representing investors nationwide.
Speak With an Investor Rights Attorney – 1.844.689.5754
© 2012 - 2026 Sonn Law Group • Investor Intelligence • Securities Fraud • FINRA Arbitration • All Rights Reserved
