Fort Lauderdale, Florida financial advisor Michael Taylor (CRD# 4900554) recently resigned from his former member firm in connection with alleged...
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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 Kersting (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.
John Balmer: Kingswood Advisor Faces 6-Figure Complaint
Irvine, California financial advisor John Balmer (CRD# 4569902) recently received an investor complaint alleging that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Kingswood Capital Partners and an investment advisor with DST Wealth Management.
Scott Gregory: Saxony Advisor Fired by Benjamin F. Edwards & Company
Decatur, Illinois financial advisor Scott Gregory (CRD# 4426847) was fired from his former member firm in connection with alleged misconduct. Financial Industry Regulatory Authority records show that the former Benjamin F. Edwards & Company representative is currently registered as a broker with Saxony Securities.
Todd Kennedy: Suitability Complaint Against Ex-Herbert Sims Advisor
A recent investor complaint against Golden Valley, Minnesota financial advisor Todd Kennedy (CRD# 1002060) alleges that he made unsuitable investment recommendations. Financial Industry Regulatory Authority records show that he is registered as a broker with The Oak Ridge Financial Services Group, having previously been registered with Herbert J. Sims & Company.
Ryan Masters: $2.5mm Complaint Against Morgan Stanley Advisor
Coral Gables, Florida financial advisor Ryan Masters (CRD# 5743021) recently received an investor complaint alleging 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 Morgan Stanley.
John Polemis: FINRA Investigates Fired Stirlingshire Advisor
San Diego, California financial advisor John Polemis (CRD# 4270012) allegedly violated industry rules, according to a regulatory investigation into his conduct. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Stirlingshire Investments broker is currently registered as an investment advisor with Sphinx Investments.
Alex Staverosky: Ridgegate Advisor Faces Suitability Complaint
A recent investor complaint against Englewood, Colorado financial advisor Alex Staverosky (CRD# 7171282) alleges that he violated industry rules. Financial Industry Regulatory Authority records show that he is registered as a broker with Emerson Equity and an investment advisor with Ridgegate Advisors.
