Centerville, Ohio financial advisor James Ratliff (CRD# 1669731) was recently fired by his former member firm in connection with alleged...
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David Segarra: Suitability Complaint Against LPL, Ex-Centaurus Advisor
A recent investor complaint against Las Vegas, Nevada financial advisor David Segarra (CRD# 4482059) alleges that his ådvice resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, doing business as Latus Group.
Jenna Spurrier: Thurston Springer Advisor Receives Complaint
Indianapolis, Indiana financial advisor Jenna Spurrier (CRD# 4284511) allegedly mismanaged a customer’s account, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Thurston Springer, doing business as JKS Financial.
Paul Drueke: $136K Suitability Complaint Against Stifel Advisor
Grand Rapids, Michigan financial advisor Paul Drueke (CRD# 814408) allegedly made an unsuitable investment recommendation, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Stifel Nicolaus & Company.
Vince Annable: Realta Advisor Allegedly “Lied” to Clients
A recent investor complaint against Scottsdale, Arizona financial advisor Vince Annable (CRD# 1033573) alleges that he lied to his customers. Financial Industry Regulatory Authority records show that he is registered as a broker with Realta Equities and an investment advisor with Transce3nd.
Aaron Sevigny: $500K-$1mm Complaint Against Acadia Advisor
A recent investor complaint against Bonita Springs, Florida financial advisor Aaron Sevigny (CRD# 4314368) 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 adviser with United Planners’ Financial Services of America, doing business as… Read More »
Carlson Law Files FINRA Arbitrations Against UBS and Morgan Stanley Concerning Atlanta Financial Advisor Araya Mesfin
Carlson Law, P.A., a Miami Beach-based securities litigation law firm, has filed two FINRA arbitration claims against Morgan Stanley and UBS Financial Services relating to the conduct of Atlanta-based financial advisor Araya Mesfin. The first claim, filed against Morgan Stanley, alleges mismanagement of an investment strategy and securities-based line of credit, as well as… Read More »
Brightline Bonds: “Junk” Investment Misses Interest Payments
Recent news reports describe the dire state of investments in municipal bonds issued by the Florida private railroad company Brightline Trains. A January 16, 2026 article by Bloomberg, for instance, states that Brightline “skipped its second interest payment on $1.2 billion of subordinate municipal bonds” having skipped the first interest payment back in July… Read More »
Kevin Dooley: Suitability Complaint Against Private Client Advisor
Miami, Florida financial advisor Kevin Dooley (CRD# 2513153) has received multiple investor complaints alleging that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Equitable Advisors, doing business as Private Client Group.
Kade Osburn: $174K Complaint Against SEIA Advisor
Los Angeles, California financial advisor Kade Osburn (CRD# 7475893) allegedly provided unsuitable advice, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Signature Estate Securities and an investment advisor with Signature Estate & Investment Advisors.
Dan McClory: Boustead, Sutter Advisor Faces $950K Complaint
A recent investor complaint against Irvine, California financial advisor Dan McClory (CRD# 1390780) alleges that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Sutter Securities and Sutter Capital Advisory, respectively, and that he is also registered as a… Read More »
