Feng Luo (CRD #: 5508192), a broker registered with Transamerica Financial Advisors, has a new investor dispute on her BrokerCheck record, accessed on January 8, 2020. On October 23, 2020, clients alleged that Feng Luo made misrepresentations and omitted facts during a sales presentation regarding unsuitable insurance products. The clients further alleged that Luo fraudulently…

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Ryan Tarjanyi (CRD #: 6065805), an investment adviser registered with Trustmont Advisory Group, is the subject of a Financial Industry Regulatory Authority (FINRA) investigation, according to his BrokerCheck record, accessed on October 16, 2020. As a result, FINRA made a preliminary determination to recommend disciplinary action against Mr. Tarjanyi. This is the latest in a…

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Mark Boucher (CRD #2187695), an investment advisor registered with Strategic Wealth Advisors Group Services Inc., is the subject of an SEC Complaint. (Mr. Boucher is also a previously registered broker.) The Complaint alleges that he stole millions of dollars from clients and forged a letter to make it look like a client gifted him $1.5…

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David Rockwell (CRD#: 4236377) of Fort Myers, Florida became involved in a pending customer dispute on July 12, 2019 after a client alleged that he engaged in “forgery and fraud,” according to his BrokerCheck report accessed on August 27, 2019.  The claimant is requesting $700,000 in damages. This was preceded by a claim filed on…

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