Former Seattle, Washington financial advisor William Sandeman (CRD# 831384) was recently sanctioned and barred in connection with alleged rule violations....
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Kenji Saito: Ex-Centaurus Advisor Lands $75K Bond Complaint
Santa Barbara financial advisor Kenji Saito (CRD# 5695201) allegedly sold an unsuitable and high-risk bond investment, according to a recent investor complaint. Records provided by the Financial Industry Regulatory Authority and the Securities and Exchange Commission show that the former Centaurus Financial broker is currently an investment advisor with HBW Advisory Services.
Matt Stucke: Ex-Cambridge Advisor Faces 6-Figure Complaint
UPDATE: As of March 5, 2025, Carlson Law has now represented six former clients of Matthew Stucke. A recent investor complaint against Milton, Georgia financial advisor Matt Stucke (CRD# 4840895) alleges that his conduct resulted in seven-figure losses. Financial Industry Regulatory Authority records show that he is a broker with Cetera Advisor Networks and… Read More »
Albert Collingbourne: Edward Jones Advisor Faces Crypto Complaint
A recent investor complaint against Anadarko, Oklahoma financial advisor Albert Collingbourne (CRD# 4741840) alleges that his investment advice resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Edward Jones, having previously been registered with Arvest Wealth Management.
Travis Hudak: FINRA Investigates Ex-H. Beck Advisor
Former Draper, Utah financial advisor Travis Hudak (CRD# 3128251) was the subject of a recent investigation that determined to allege he violated industry rules. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former H. Beck and Transitional Broker representative is currently an investment advisor with Premier Investment Management.
Milind Dalal: $500K Complaint Against Clarity Wealth Advisor
San Jose financial advisor Milind Dalal (CRD# 2368965) recently received an investor complaint alleging his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker with Purshe Kaplan Sterling and an investment advisor with Clarity Wealth Advisors.
John Larkin: $137K Complaint Against Merrill Lynch Advisor
A recent investor complaint against Westfield, New Jersey financial advisor John Larkin (CRD# 1144419) alleges that his conduct resulted in damages exceeding $100,000. Records provided by the Financial Industry Regulatory Authority show that he is a broker and an investment advisor with Merrill Lynch, whose website describes him as a member of The Larkin… Read More »
Richard Matheis: FINRA Bars Vista Wealth Management Advisor
Former Overland Park financial advisor Richard Matheis (CRD# 869179) was recently barred from acting as a broker following an investigation into potential sales practice violations. Financial Industry Regulatory Authority records show that the former Union Capital broker is an investment advisor with Lexaurum Advisors and the president of Vista Wealth Management.
Raymond Byers: $600K Complaint Against UBS Advisor
Mishawaka, Indiana financial advisor Raymond Byers (CRD# 2590926) recently received an investor complaint alleging his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with UBS Financial Services, having previously been registered with Merrill Lynch.
Jack Dougherty: LPL Fires Gladstone Wealth Advisor
Former Blue Bell, Pennsylvania financial advisor Jack Dougherty (CRD# 3018615) was recently terminated by his former employer in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former LPL Financial representative, who has also received a pending investor complaint, did business as Gladstone Wealth Partners.
Kevin Canterbury: $100K Complaint Against Ex-Coastal Equities Advisor
Scottsdale financial advisor Kevin Canterbury (CRD# 4939385) has received multiple investor complaints alleging his conduct resulted in six-figure losses. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Coastal Equities broker is currently an investment advisor with CS Planning Corporation.
