Nashville, Tennessee financial advisor Dorris Jones (CRD# 735200) recently received an investor complaint alleging that her advice resulted in six-figure...
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Kurt Mattson: Former Northwestern Advisor Receives $418K Complaint
Atlanta, Georgia financial advisor Kurt Mattson (CRD# 2738627) recently received an investor complaint alleging that his advice resulted in six-figure damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Northwestern Mutual Investment broker is currently registered as an investment advisor with CWM.
Warren Prehmus: BIP Wealth Advisor Faces $1.8mm Complaint
Peachtree Corners and Norcross, Georgia financial advisor Warren Prehmus (CRD# 1875927) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with The Strategic Financial Alliance and an investment advisor with BIP Wealth, doing business as Prehmus Financial Partners.
Melissa Williams: Star Financial Advisor Lands $500K Bond Complaint
A recent investor complaint against Spokane, Washington financial advisor Melissa Williams (CRD# 4298503) alleges that she recommended an unsuitable investment. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Osaic Wealth, doing business as Star Financial.
Eddie MacPhee: Selling Away Allegations Against Gallagher Advisor
San Diego, California financial advisor Eddie MacPhee (CRD# 5476050) recently resigned from his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Secure Investment Management representative is currently registered as an investment advisor with Gallagher Fiduciary Advisors.
Walter Putnam: Northwestern Advisor Faced $65K Complaint
A recent, denied investor complaint against Tampa, Florida financial advisor Walter Putnam (CRD# 1274433) alleged that he recommended an unapproved investment. Financial Industry Regulatory Authority records show that he is registered as a broker with Northwestern Mutual Investment Services.
IRS Creates Conservation Easement Office
The Internal Revenue Service announced the formation of an Office of Conservation Easements to centralize its approach to handling conservation easement cases. According to a news release published on August 19, 2026, the agency’s move reflects a shift from “the current uniform settlement initiative effective today.” As such, it will stop issuing uniform settlement… Read More »
Jorge Montealegre: Fraud Complaint Against Oppenheimer Advisor
Coral Gables, Florida financial advisor Jorge Montealegre (CRD# 1799139) allegedly recommended an unsuitable investment strategy, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Oppenheimer.
Galen Foster: Did Stifel Advisor Make Unauthorized Trades?
Nashville, Tennessee financial advisor Galen Foster (CRD# 1394526) has received multiple investor complaints alleging that his conduct resulted in damages in the customer’s account. Financial Industry Regulatory Authority records show that he is registered as a broker with Stifel Nicolaus.
Carl Latz: Oil & Gas Complaint Against Texas Securities Advisor
Dallas, Texas financial advisor Carl Latz (CRD# 1473936) allegedly recommended an unsuitable investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Texas Securities.
Daniel Tacktill: Oppenheimer Advisor Receives $1.5mm Complaint
Melville, New York financial advisor Daniel Tacktill (CRD# 4624409) recently received an investor complaint alleging that his conduct resulted in damages exceeding $1 million. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Oppenheimer & Company.
