A recent, denied investor complaint against San Diego, California financial advisor Rick Abbe (CRD# 1366957) alleges that his advice resulted...
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Carlson Law Representing Former Client of LPL’s Michael Graham
Carlson Law, P.A. is representing a former client of LPL Financial’s Michael Graham who was located in El Paso, Texas. Graham was discharged by LPL on or around June 6, 2025, for allegations of “fail[ing] to disclose and receive prior approval for participation in a prohibited outside business activity; participated in and directed clients… Read More »
Jacob Harper: FINRA Suspends Ex-LPL, DA Davidson Advisor
Former Laguna Niguel, California financial advisor Jacob Harper (CRD# 4258319) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered with LPL Financial, having previously been registered with DA Davidson & Company and Wells Fargo Clearing Services.
Ron Smith: FINRA Bars Ex-Spartan Advisor
Stamford, Connecticut financial advisor Ron Smith (CRD# 6038062) was recently sanctioned and barred in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Spartan Capital representative is registered as a broker with Sanford C. Bernstein & Company and an investment advisor with AllianceBernstein.
Brian Lombardi: $99K Complaint Against Ex-Aegis Advisor
Irvine, California financial advisor Brian Lombardi (CRD# 4227216) recently received an investor complaint alleging that he recommended an unsuitable product. Financial Industry Regulatory Authority records show that he is registered as a broker with Boustead Securities and an investment advisor with Sutter Securities, having previously been registered with Aegis Capital.
Philip Hoang: $1.7mm REIT Complaint Against Morgan Stanley Advisor
A recent investor complaint against Menlo Park, California financial advisor Philip Hoang (CRD# 5134140) alleges 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.
DOJ Charges Former GWG Holdings CEO
The United States Department of Justice recently indicted former GWG Holdings CEO and Board Chairman Bradley Heppner. According to a press release issued on November 4, 2025, federal prosecutors charged Mr. Heppner with “securities fraud, wire fraud, conspiracy to commit securities fraud and wire fraud, false statements to auditors, and falsification of records.”
Ian McElreath: Ex-Emerson Advisor Faces Lands Complaint
A recent investor complaint against former Portland, Maine and Tampa, Florida financial advisor Ian McElreath (CRD# 4754189) alleges that he violated securities laws and rules. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Foreside Fund Services, having previously been registered with Emerson Equity.
Adam Shipley: $100K-$500K Complaint Against Emerson Advisor
Hermosa Beach, California financial advisor Adam Shipley (CRD# 6482848) recently received an investor complaint alleging that he violated industry rules and statutes. Financial Industry Regulatory Authority records show that he is registered as a broker with Emerson Equity and an investment advisor with Northwoods Financial Partners.
TJ Shopa: $2.2mm REIT Complaint Against Equitable Advisor
Wilmington, Delaware financial advisor TJ Shopa (CRD# 4182416) 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 Equitable Advisors.
Eric Kleiner: FINRA Bars Ex-Morgan Stanley Advisor
Former New York City financial advisor Eric Kleiner (CRD# 4135180) was recently sanctioned and barred in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Morgan Stanley and that he has received multiple investor complaints.
