Lake Wales, Florida financial advisor James Nelson (CRD# 1931451) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial...
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Shay Scruggs: $1mm Complaint Against Rockefeller Advisor
Houston, Texas financial advisor Shay Scruggs (CRD# 4173046) 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 with Rockefeller Financial and an investment advisor with Rockefeller Capital Management.
Gary Liska: $500K Complaint Against Signature Advisor
A recent investor complaint against Los Angeles, California financial advisor Gary Liska (CRD# 2512188) alleges that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Signature Estate Securities and an investment advisor with Signature Estate Investment Advisors (SEIA).
Danny Sookram: Why Did Equitable Fire Aegis Advisor?
Melville, New York financial advisor Danny Sookram (CRD# 6113338) was recently terminated by his broker-dealer firm in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that he the former Equitable Advisors broker is currently registered as an investment advisor with Aegis Capital.
Joel Benanti: FINRA Lodges Complaint Against Ex-Network 1 Advisor
Former Hauppage, New York financial advisor Joel Benanti (CRD# 4210681) was under investigation for undisclosed outside business activities and private securities transactions, according to a recent regulatory complaint against him. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Network 1 Financial Securities.
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.
