Former New York City financial advisor Sung Moo Cho (CRD# 5015906) was recently sanctioned and barred in connection with misappropriation...
Read MoreAuthor Archives: chase@carlson-law.com
Jason Griffin: Unauthorized Trading Complaint Against Merrill Advisor
A recent investor complaint against Newport Beach, California financial advisor Jason Griffin (CRD# 2725523) made unauthorized transactions. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch.
Steve White: Rockefeller, Ex-UBS Advisor Faces Complaint
Los Angeles, California financial advisor Steve White (CRD# 3052632) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Rockefeller Financial and an investment advisor with Rockefeller Capital Management, having previously been registered with UBS Financial Services.
Liliana Nunez: Suitability Complaint Against Wells Fargo Advisor
A recent investor complaint against El Paso, Texas financial advisor Liliana Nunez (CRD# 5793174) alleges that her conduct resulted in losses. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Wells Fargo Clearing Services and Wells Fargo Advisors, respectively.
Cornerstone Securities: Lawsuit Alleges POAI Over-Concentration
A recently filed lawsuit alleges that Overland Park, Kansas-based investment advisory firm Cornerstone Securities alleges that the firm concentrated investments in elderly customers’ accounts. According to a report published by Financial Advisor IQ on January 12, 2026, the lawsuit describes conduct by former Cornerstone advisor Christopher Burch, though it does not name him as… Read More »
Wendy Che: $200K Complaint Against Emerson Equity Advisor
A recent investor complaint against San Mateo, California financial advisor Wendy Che (CRD# 6911319) alleges that she violated securities laws and industry regulations. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Emerson Equity.
Robert Annable: Investor Complaint Against Realta, Transce3nd Advisor
Scottsdale, Arizona financial advisor Robert Annable (CRD# 4657825) allegedly misrepresented investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Realta Equities and an investment advisor with Transce3nd.
Lori Iaquinta: $4mm Complaint Against Morgan Stanley Advisor
A recent investor complaint against San Diego, California financial advisor Lori Iaquinta (CRD# 2393250) alleges that her advice resulted in seven-figure damages. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Morgan Stanley.
David LaGrange: Ex-Moloney Advisor Faces $577K GWG Complaint
A recent investor complaint against Winterset, Iowa financial advisor David LaGrange (CRD# 4200976) alleges that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Berthel Fisher, having previously been registered with Moloney Securities.
Rudy Anguiano: Why Did LPL Fire Alexander Capital Advisor?
Red Bank, New Jersey financial advisor Rudy Anguiano (CRD# 5188950) was recently terminated by his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former LPL Financial representative is currently registered as a broker and an investment advisor with Alexander Capital, doing business as Anguiano Capital… Read More »
Javier Hernandez: FINRA Investigates KCD Financial Advisor
Green Bay, Wisconsin financial advisor Javier Hernandez (CRD# 2298668) is under investigation for potential violations of securities laws and industry regulations. Financial Industry Regulatory Authority records show that he is registered as a broker with KCD Financial, having previously been registered with Cape Securities.
