Thousand Oaks, California financial advisor Craig Sturges (CRD# 1315735) allegedly recommended an unsuitable investment, according to a recent investor complaint....
Read MoreAuthor Archives: chase@carlson-law.com
Andrew Adderly: SEC Investigates Broad Street Capital Advisor
Holmdel, New Jersey financial advisor Andrew Adderly (CRD# 4388648) is under investigation by the Securities and Exchange Commission in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is registered as a broker with Broad Street Capital Markets.
Unsuitable Investments: Your Complete Legal Guide to Recovery in 2026
As an investor, you place immense trust in your financial advisor to look out for your interests, communicate transparently, and help your money work for you. When an investment they recommended ends up harming your portfolio, it can feel like a violation of that trust. It may also be a violation of securities rules… Read More »
Joe Fraser: Former Benchmark Advisor Faced Suitability Complaint
A recent, denied investor complaint against Irvine, California financial advisor Joe Fraser (CRD# 6975700) alleged that he violated industry rules in connection with an alternative investment product. Financial Industry Regulatory Authority records show that he is registered as a broker with Emerson Equity, having previously been registered with Benchmark Investments.
Lawrence Steinberg: $1mm Complaint Against Cabin Advisor
Pasadena, California financial advisor Lawrence Steinberg (CRD# 2349876) recently received an investor complaint alleging that he committed fraud in connection with a private placement investment. Financial Industry Regulatory Authority records show that he is registered as a broker with Cabin Securities and an investment advisor with Cabin Advisors.
Jim Gambaccini: Negligence Complaint Against Republic Capital Advisor
A recent investor complaint against Reston, Virginia financial advisor Jim Gambaccini (CRD# 4619759) alleges that he failed to uphold one of his primary duties as an investment professional. Financial Industry Regulatory Authority records show that he is registered as a broker with Republic Capital Group and an investment advisor with Acorn Financial Advisory Services.
William Burke: REIT Complaint Against Trinity Advisor
Southlake, Texas financial advisor William Burke (CRD# 5499442) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with TPEG Securities, which is affiliated with Trinity Investors.
Michael Fisher: Ex-Ameriprise Advisor Lands $1mm Complaint
Melville, New York financial advisor Michael Fisher (CRD# 4056114) recently received an investor complaint alleging that his advice and trading activity resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he was last registered as a broker with Ameriprise Financial Services.
Dan Bucevski: Morgan Stanley Advisor Faces $580K Complaint
A recent investor complaint against Miami, Florida financial advisor Dan Bucevski (CRD# 5702545) alleges that his recommendation of an unapproved investment resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Morgan Stanley.
Bob Thompson: FINRA Bars Former ON Equity Sales Advisor
Former Houston, Texas financial advisor Bob Thompson (CRD# 713539) was recently sanctioned and barred in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that he was previously registered as a broker with The ON Equity Sales Company and an investment advisor with ON Investment Management.
Rick Rappaport: Westpark Capital Advisor Lands $2.5mm Complaint
A recent investor complaint against Los Angeles, California financial advisor Rick Rappaport (CRD# 1885122) alleges that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with WestPark Capital.
