Centerville, Ohio financial advisor James Ratliff (CRD# 1669731) was recently fired by his former member firm in connection with alleged...
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Aaron Dykas: Oppenheimer Advisor Fired by RBC
Seattle, Washington financial advisor Aaron Dykas (CRD# 2281381) was recently fired by his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former RBC Capital Markets representative is currently registered as a broker with Oppenheimer.
Moshe Alpert: Vanderbilt Advisor Resigned from Northwestern Mutual
Far Rockaway, New York financial advisor Moshe Alpert (CRD# 6433535) recently resigned from his former member firm amid allegations that he violated internal policies. Financial Industry Regulatory Authority records show that the former Northwestern Mutual representative is currently registered as a broker and an investment advisor with Vanderbilt Securities and Vanderbilt Advisory Services, respectively.
Tadd Killpack: Why Did International Assets Advisor Resign?
Salt Lake City, Utah financial advisor Tadd Killpack (CRD# 4700629) allegedly recommended unsuitable alternative investments and resigned from his former member firm. Financial Industry Regulatory Authority records show that the former International Assets Advisory representative is currently registered as a broker and an investment advisor with Alexander Capital.
Mars FX Investment Losses: Investors May Have Options
Investors who lost money investing in Mars FX, a Los Angeles-based hedge fund sponsored by Novus Capital Partners, may have recovery options. Nearly $600 million was missing when the fund went bankrupt, according to an April 2026 Bloomberg report, with more than 500 investors are listed as creditors in the bankruptcy filing.
Larry Nelson: $1.88mm Complaint Against Ameriprise Advisor
Salinas, California financial advisor Larry Nelson (CRD# 2275834) allegedly made unauthorized trades and engaged in predatory sales practice, 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.
Beaux Treguboff: LPL Financial Advisor Receives $650K Complaint
A recent investor complaint against Glendale, Arizona financial advisor Beaux Treguboff (CRD# 5533615) alleges that he recommended an unsuitable investment. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, doing business as Homestead Wealth Management.
Mikayla Raleigh: Quincy Wells Advisor Lands $500K Complaint
A recent investor complaint against Cary, North Carolina financial advisor Mikayla Raleigh (CRD# 7181755) alleges that her conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that she is registered as a broker with Quincy Wells Capital and an investment advisor with Raleigh Capital Management.
Laura Clark: Merrill Lynch Advisor Faces $1.2mm Complaint
Mount Pleasant, South Carolina financial advisor Laura Clark (CRD# 2483992) recently received an investor complaint alleging that her conduct resulted in damages of more than $1 million. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Merrill Lynch.
Tamara Totah: $7mm Complaint Against Old City Securities Advisor
A recent investor complaint against New York, New York financial advisor Tamara Totah (CRD# 6592304) alleges that her advice resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Old City Securities.
Jayme Lemaire: FINRA Bars Ex-Raymond James Advisor
Former Glastonbury, Connecticut financial advisor Jayme Lemaire (CRD# 4336052) was recently sanctioned and barred in connection with alleged rule violations. Financial Industry Regulatory Authority records show that she was most recently registered as a broker with International Assets Advisory, having previously been registered with Lincoln Investment and Raymond James Financial Services.
