A recently published news release describes an investigation into allegations that broker-dealer firm Forge Securities (CRD# 134596) played a role...
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Dennis Herrera: FINRA Suspends NuDay Capital Advisor
Former Miami financial advisor Dennis Herrera (CRD# 4618370) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Aegis Capital, doing business as NuDay Capital.
Bill Burks II: FINRA Suspends Centaurus, Burks Financial Advisor
Flower Mound, Texas financial advisor Bill Burks (CRD# 2944992) was recently sanctioned and suspended by FINRA in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Centaurus Financial, doing business as Burks Financial.
James Garrity: Morgan Stanley Advisor Faces Investor Complaint
La Jolla, California financial advisor James Garrity (CRD# 2005714) allegedly misrepresented an investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Morgan Stanley, also associated with the firm’s Salt Lake City, Utah location.
Leticia Hewko: $100K-$500K Complaint Against Cinergy Advisor
A recent investor complaint against Tustin, California financial advisor Leticia Hewko (CRD# 6211451) alleges that her advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that she is registered as a broker with Independent Financial Group, doing business as Cinergy Financial.
Tony Pechthalt: Suitability Complaint Against Edward Jones Advisor
Bellingham, Washington financial advisor Tony Pechthalt (CRD# 2422846) has received multiple investor complaints alleging that his advice resulted in losses. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Edward Jones.
Matt Sottile: Bravias Advisor Faced Suitability Complaint
A recent, denied investor complaint against Iselin, New Jersey financial advisor Matt Sottile (CRD# 4774814) alleged that his advice resulted in losses. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former David Lerner Associates broker is currently registered as an investment advisor with Bravias Financial.
Brandon Larsen: FINRA Suspends Fired Thrivent Advisor
Green Bay, Wisconsin financial advisor Brandon Larsen (CRD# 6192239) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Equity Services, having previously been registered with Thrivent Investment Management.
Mack Miller: FINRA Suspends Spartan Advisor
New York City financial advisor Mack Miller (CRD# 2822317) was recently sanctioned and suspended in connection with alleged excessive and unsuitable trades. Financial Industry Regulatory Authority records show that he is registered as a broker with Spartan Capital Securities, having previously been registered with Dawson James Securities.
Report: Easterly ROCMuni Described as “Junk Bond”
Investment firms Osaic Wealth and Stifel Nicolaus & Company may have improperly recommended investments in the Easterly ROCMuni High Income Municipal Bond Fund, according to an August 8, 2025 report by InvestmentNews. As the report describes, the firms “face questions” and may be subject to lawsuits over their recommendation of the investment.
James Gahagan: LPL Advisor Faced $206K Complaint
A recent, closed investor complaint against Santa Cruz, California financial advisor James Gahagan (CRD# 2771502) alleged that an investment recommendation was unsuitable. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, doing business as JP Gahagan Financial Services.
