Pasadena, California financial advisor Manuel Lozano (CRD# 1004483) recently received an investor complaint alleging that his conduct resulted in damages....
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James Nelson: Realta Advisor Lands Suitability Complaint
Lake Wales, Florida financial advisor James Nelson (CRD# 1931451) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Realta Equities and an investment advisor with Realta Investment Advisors.
Andrew Andreotta: Park Ave Advisor Resigned over Forgery Allegations
Hendersonville, Tennessee financial advisor Andrew Andreotta (CRD# 6980955) resigned from his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Park Avenue Securities representative is now registered as a broker with Kovack Securities and an investment advisor with Kovack Advisors.
Joanna Rogers: Morgan Stanley Advisor Faces $124K Complaint
A recent investor complaint against Waco, Texas financial advisor Joanna Rogers (CRD# 4929259) alleges that she made misrepresentations of material facts. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Morgan Stanley.
Kirk Thode: Why Did Advisor Resign from Morgan Stanley?
Milwaukee, Wisconsin financial advisor Kirk Thode (CRD# 5138682) resigned from his former member firm in connection with alleged misconduct. Financial Industry Regulatory Authority records show that the former Morgan Stanley representative is currently registered as a broker and an investment advisor with LPL Financial.
Laith Khalaf: $140K Complaint Against Wells Fargo Advisor
Dublin, Ohio financial advisor Laith Khalaf (CRD# 4175532) recently received an investor complaint alleging that he recommended an unsuitable investment strategy. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Wells Fargo Clearing Services.
Sahand Elmtalab: MML Advisor Receives $4.3mm Complaint
Minneapolis, Minnesota financial advisor Sahand Elmtalab (CRD# 5484654) 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 MML Investors Services.
Peter Chernin: Ex-Great Point Advisor Faces $1mm Investor Complaint
Chicago, Illinois financial advisor Peter Chernin (CRD# 6787497) allegedly recommended unsuitable investments, according to recent investor complaints. Financial Industry Regulatory Authority records show that he is registered as a broker with Quincy Wells Capital, having previously been registered with Great Point Capital.
Jon Moskowitz & Jeffrey Saster: Wells Fargo Advisors Face $10mm Claim
Florida financial advisors Jon Moskowitz (CRD# 2335240) and Jeffrey Saster (CRD# 1228842) recently received an investor complaint alleging that their advice resulted in eight-figure damages. Financial Industry Regulatory Authority records show that each is registered as a broker and an investment advisor with Wells Fargo.
Trevor Uhls: Federal Complaint Alleges $2.1 Million Investment Fraud “Ponzi” Scheme
Federal prosecutors have filed a civil fraud complaint against Trevor Uhls, a Lee’s Summit, Missouri resident, alleging that he is running an investment fraud “Ponzi” scheme that has taken in more than $2.1 million from at least 24 investors. On July 16, 2026, the United States filed a Verified Complaint for Injunctive Relief in… Read More »
Darren Bado: Ameriprise Advisor Under Investigation
Santa Clara, California financial advisor Darren Bado (CRD# 6678445) is under investigation for alleged misconduct. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Ameriprise Financial Services.
