While many attorneys can identify potential securities law violations and assert claims such as negligence or breach of fiduciary duty,...
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Why Hiring an Experienced FINRA Arbitration Attorney Is Critical to Your Case
While many attorneys can identify potential securities law violations and assert claims such as negligence or breach of fiduciary duty, achieving the best possible outcome in a FINRA arbitration requires far more than just pleading the right causes of action. It requires deep, specialized experience in this highly nuanced forum. There are three critical… Read More »
Spring Hill Holdings: Investors May Have Recovery Options
Investors who suffered losses in on investments in Spring Hill Holdings may have recovery options. The company, an owner and operator of senior care facilities, may have been an unsuitably risky investment for retail investors. If you believe that your financial advisor misrepresented these investments or recommended them without consideration for your risk tolerance… Read More »
Rick Roberts: TCFG Advisor Lands 7-Figure Complaint
A recent investor complaint against Laguna Niguel, California financial advisor Rick Roberts (CRD# 2145874) alleges that he recommended unsuitable Delaware Statutory Trust (DST) investments. Financial Industry Regulatory Authority records show that he is registered as a broker with TCFG Wealth Management. Mr. Robert’s BrokerCheck report discloses one investor complaint. Filed in March 2026, it… Read More »
Pat Gorand: $1mm Complaint Against JP Morgan Advisor
Winnetka, Illinois financial advisor Pat Gorand (CRD# 5559541) 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 JP Morgan Securities.
Kelly Crane: $60K Complaint Against Wealth Enhancement Advisor
A recent investor complaint against St. Helena, California financial advisor Kelly Crane (CRD# 1236296) alleges that his advice resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with W
Dan Holzer: $500k-$1mm Complaint Against Realta Advisor
Wilmington, Delaware financial advisor Dan Holzer (CRD# 5779187) has received multiple investor complaints alleging that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Realta Equities and an investment advisor with Realta Investment Advisors.
Sandy Leff: Suitability Complaint Against Carter Terry Advisor
Atlanta, Georgia financial advisor Sandy Leff (CRD# 1796695) allegedly recommended unsuitable investments, according to recent investor complaints. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Carter Terry & Company.
Dan Goodwin: Provident, Ex-AAG Advisor Faces $186K Complaint
Recent investor complaints against The Woodlands, Texas financial advisor Dan Goodwin (CRD# 5752768) allege that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker with Great Point Capital and as an investment advisor with Provident Wealth Advisors and Accurate Wealth Management.
Michael Wagner: Morgan Stanley Advisor Lands $2mm Complaint
Atlanta, Georgia financial advisor Michael Wagner (CRD# 4465334) 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 Morgan Stanley.
Matt Greene: Investor Complaint Against LPL Advisor
A recent investor complaint against Covington, Louisiana financial advisor Matt Greene (CRD# 3175382) alleges that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker with LPL Financial and an investment advisor with Pelican Advisory.
