Centerville, Ohio financial advisor James Ratliff (CRD# 1669731) was recently fired by his former member firm in connection with alleged...
Read MoreCategory Archives: Uncategorized
Robin Cantore: Cetera Advisor Lands $100K-$500K Complaint
New Orleans, Louisiana financial advisor Robin Cantore (CRD# 2584058) has received multiple investor complaints alleging that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Cetera Investment Services and an investment advisor with Cetera Investment Advisers.
Sanjay Chandra: Private Placement Complaint Against TPEG Advisor
A recent investor complaint against Southlake, Texas financial advisor Sanjay Chandra (CRD# 5512809) alleges that his conduct violated industry rules. Financial Industry Regulatory Authority records show that he is registered as a broker with TPEG Securities and an investment advisor with Trinity Investors.
John Sweeden: Cetera Advisor Receives Forgery Complaint
Richardson, Texas financial advisor John Sweeden (CRD# 1662776) recently received an investor complaint alleging forgery and other misconduct. Financial Industry Regulatory Authority records show that he is registered as a broker with Cetera Wealth Services and an investment advisor with Cetera Investment Advisers.
William Sandeman: FINRA Bars Ex-Wedbush Advisor
Former Seattle, Washington financial advisor William Sandeman (CRD# 831384) was recently sanctioned and barred in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was last registered as a broker with Wedbush Securities and that he has received multiple investor complaints.
Philip Pike: $300K Complaint Against Herbert J. Sims Advisor
Boca Raton, Florida financial advisor Philip Pike (CRD# 5695273) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Herbert J. Sims.
Timothy Walsh: Xenith Advisor Sanctioned over Solaredge Strategy
Fort Worth, Texas financial advisor Timothy Walsh (CRD# 4666856) was recently sanctioned in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that he was last registered as a broker with Fortune Financial Services.
Andrew Adderly: SEC Investigates Broad Street Capital Advisor
Holmdel, New Jersey financial advisor Andrew Adderly (CRD# 4388648) is under investigation by the Securities and Exchange Commission in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is registered as a broker with Broad Street Capital Markets.
Unsuitable Investments: Your Complete Legal Guide to Recovery in 2026
As an investor, you place immense trust in your financial advisor to look out for your interests, communicate transparently, and help your money work for you. When an investment they recommended ends up harming your portfolio, it can feel like a violation of that trust. It may also be a violation of securities rules… Read More »
Joe Fraser: Former Benchmark Advisor Faced Suitability Complaint
A recent, denied investor complaint against Irvine, California financial advisor Joe Fraser (CRD# 6975700) alleged that he violated industry rules in connection with an alternative investment product. Financial Industry Regulatory Authority records show that he is registered as a broker with Emerson Equity, having previously been registered with Benchmark Investments.
Lawrence Steinberg: $1mm Complaint Against Cabin Advisor
Pasadena, California financial advisor Lawrence Steinberg (CRD# 2349876) recently received an investor complaint alleging that he committed fraud in connection with a private placement investment. Financial Industry Regulatory Authority records show that he is registered as a broker with Cabin Securities and an investment advisor with Cabin Advisors.
