A recent investor complaint against former Newton, Massachusetts financial advisor Ron Birnbaum (CRD# 2382580) alleges that his conduct resulted in...
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Chris Chlupp: Baird Advisor Received Investor Complaint
A recent, denied investor complaint against West Bend, Wisconsin financial advisor Chris Chlupp (CRD# 2950578) alleges that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Robert W. Baird.
Mark Kissinger: Suitability Complaint Against NYLife Advisor
A recent investor complaint against Frisco, Texas financial advisor Mark Kissinger (CRD# 4546631) alleges that he recommended an unsuitable investment. Financial Industry Regulatory Authority records show that he is registered as a broker with NYLife Securities and an investment advisor with Eagle Strategies, doing business as Kissinger Financial Services.
Steve Wilkinson: $325K Complaint Against Wilkinson Wealth Advisor
Oakland, California financial advisor Steve Wilkinson (CRD# 1180321) allegedly did not act in a customer’s best interest, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, doing business as Wilkinson Wealth Management.
Jacob Adams: $500K Complaint Against Ex-Realized Financial Advisor
A recent investor complaint against Austin, Texas financial advisor Jacob Adams (CRD# 4975889) 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 Principal Securities, having previously been registered with Realized Financial.
Justin Hoyt: Why Did Osaic Advisor Resign from Ameriprise?
Gilbert, Arizona financial advisor Justin Hoyt (CRD# 4690876) recently resigned from his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Ameriprise Financial Services representative is currently registered as a broker and an investment advisor with Osaic Wealth.
Justin Bender: Merrill Advisor Received $100K Complaint
A recent, closed investor complaint against Jacksonville, Florida financial advisor Justin Bender (CRD# 5949569) alleged that he stole funds. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch.
B. Riley Shareholder Lawsuit: Franchise Group Allegations
A shareholder derivative lawsuit alleges that executives at broker-dealer firm B. Riley & Financial breached their fiduciary duties and failed to disclose material facts relating to the company’s relationship with the former CEO of another company called Franchise Group, according to a January 2026 report by InvestmentNews.
Rick Abbe: LPL Advisor Faced Investor Complaint
A recent, denied investor complaint against San Diego, California financial advisor Rick Abbe (CRD# 1366957) 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 LPL Financial, doing business as Abbe Strategic Advisors.
Arvind Saxena: Why Did NYLife Fire US Capital Advisor?
San Francisco, California financial advisor Arvind Saxena (CRD# 7270550) was recently terminated from a former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former NYLife Securities broker is currently registered as an investment advisor with US Capital Global Wealth.
Richard Kersting: $500K Complaint Against Ameriprise Advisor
Naples, Florida financial advisor Richard Kersteing (CRD# 1835418) allegedly recommended unsuitably aggressive 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 Ameriprise Financial Services.
