Carlson Law, P.A., a Miami Beach-based securities litigation law firm, has filed two FINRA arbitration claims against Morgan Stanley and...
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Stirlingshire Investments Sanctioned, Fined over ETF Sales
New York City-based broker-dealer firm Stirlingshire Investments (CRD# 310576) was recently censured and fined in connection with allegations relating to the recommendation of inverse or leveraged exchange-traded funds, also known as NT-ETFs. According to a Letter of Acceptance, Waiver, and Consent (No. 2023077093401) issued in January 2026, the firm allegedly failed “to establish, maintain,… Read More »
Tory Duggins: Spartan Advisor Named in FINRA Complaint
Former New York City financial advisor Tory Duggins (CRD# 4556340) has been named in a pending enforcement action alleging that he violated industry rules. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Spartan Capital Securities.
Ryan Murphy: Truist Advisor Receives Investor Complaint
Former Savannah, Georgia financial advisor Ryan Murphy (CRD# 4332032) has received multiple investor complaints alleging that his advice resulted in damages. Financial Industry Regulatory Authority records show that he was most recently as a broker with Truist Investment Services and has been barred from associating with any broker-dealer firm.
Preston Walchli: Complaint Alleges Realta Advisor “Lied” to Clients
A recent investor complaint against Scottsdale, Arizona financial advisor Preston Walchli (CRD# 7265249) alleges that he lied to a customer, resulting in losses. Financial Industry Regulatory Authority records show that he is registered as a broker with Realta Equities, having previously been registered with Wealth Strategies Advisory Group and Robinhood Financial.
Mitch Stillman: $500k-$1mm Complaint Against Wells Fargo Advisor
A recent investor complaint against Scottsdale, Arizona financial advisor Mitch Stillman (CRD# 2894063) alleges that his conduct resulted in damages as high as $1 million. Financial Industry Regulatory Authority records show that he is registered as a broker with Wells Fargo Clearing Services and an investment advisor with Wells Fargo Advisors.
Jeff Mahoney: inFORM Advisor Lands $150K Complaint
Lakeville, Minnesota financial advisor Jeff Mahoney (CRD# 5333809) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Van Clemens & Company and an investment advisor with Van Clemens Wealth Management, doing business as inFORM Financial Planning.
Jason Griffin: Unauthorized Trading Complaint Against Merrill Advisor
A recent investor complaint against Newport Beach, California financial advisor Jason Griffin (CRD# 2725523) made unauthorized transactions. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch.
Steve White: Rockefeller, Ex-UBS Advisor Faces Complaint
Los Angeles, California financial advisor Steve White (CRD# 3052632) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Rockefeller Financial and an investment advisor with Rockefeller Capital Management, having previously been registered with UBS Financial Services.
Liliana Nunez: Suitability Complaint Against Wells Fargo Advisor
A recent investor complaint against El Paso, Texas financial advisor Liliana Nunez (CRD# 5793174) alleges that her conduct resulted in losses. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Wells Fargo Clearing Services and Wells Fargo Advisors, respectively.
Cornerstone Securities: Lawsuit Alleges POAI Over-Concentration
A recently filed lawsuit alleges that Overland Park, Kansas-based investment advisory firm Cornerstone Securities alleges that the firm concentrated investments in elderly customers’ accounts. According to a report published by Financial Advisor IQ on January 12, 2026, the lawsuit describes conduct by former Cornerstone advisor Christopher Burch, though it does not name him as… Read More »
