Former Orlando, Florida financial advisor Richard Routie (CRD# 4379905) was recently sanctioned and suspended in connection with allegations that he...
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Christopher Lane: Merrill Lynch Fires Lubbock Advisor
Lubbock, Texas financial advisor Christopher Lane (CRD# 5255199) was recently terminated from his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Merrill Lynch representative is currently registered as a broker with International Assets Advisory and an investment advisor with International Assets Investment Management.
Susan & Ryan Moseley: Investment Advisors Face Investor Complaint
A pending investor complaint against Bradenton, Florida financial advisors Susan Moseley (CRD# 871967) & Ryan Moseley (CRD# 5160880) alleges they failed to protect a client from downside risk. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Royal Alliance Associates brokers are currently registered as investment advisors with Moseley… Read More »
Carlson Law Files Case Involving Matthew Stucke of Cambridge Investment Research
UPDATE: As of March 5, 2025, Carlson Law has now represented six former clients of Matthew Stucke. Today, Carlson Law filed a FINRA arbitration against Cambridge Investment Research, alleging in excess of $100,000 in damages. Our client alleges financial losses due to investment recommendations by former Cambridge Investment Research broker Matthew Stucke. Matthew Stucke… Read More »
John Locke: Why Did LPL Fire JL3 Financial Advisor?
Madison, Wisconsin financial advisor John Locke (CRD# 5566294) was recently terminated by LPL Financial in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Harbour Investments, doing business as JL3 Financial.
Stephen Medina: $782K Complaint Against Merrill Lynch Advisor
Corpus Christi financial advisor Stephen Medina (CRD# 2614773) allegedly misrepresented stock investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Merrill Lynch, and that he has received several other investor complaints.
William Isaacson: $110K Complaint Against IFG Advisor
A recent investor complaint against Boynton Beach financial advisor William Isaacson (CRD# 2418034) alleges that he provided unsuitable advice that resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker with Peak Brokerage Services and an investment advisor with Blackridge Asset Management, doing business as Isaacson Tax & Estate… Read More »
Scott Sadar: Somerset Securities Advisor Faces 6-Figure iCap Complaint
Portland, Oregon financial advisor Scott Sadar (CRD# 4238459) recently received an investor complaint alleging his conduct resulted in damages as high as $500,000. Financial Industry Regulatory Authority records show that he is a broker with Somerset Securities and a former investment advisor with Somerset Wealth Management.
Gunnar Gavin: Complaint Against Bankers Life Advisor Settles for $45K
Traverse City, Michigan financial advisor Gunnar Gavin (CRD# 5965784) recently received an investor complaint that reached a six-figure settlement. Financial Industry Regulatory Authority records show that he is a broker with Bankers Life Securities and an investment advisor with Bankers Life Advisory Services.
Tim Peyton: $750K Complaint Against Crown Capital Advisor
Gretna, Louisiana financial advisor Tim Peyton (CRD# 1773817) recently received an investor complaint alleging his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker with Crown Capital Securities.
Mike Silverman: Oppenheimer Denies Suitability Complaint
A recent, denied investor complaint against Conshohocken financial advisor Mike Silverman (CRD# 1915352) alleged that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Stifel Nicolaus & Company, having previously been registered with Oppenheimer & Company.
