Centerville, Ohio financial advisor James Ratliff (CRD# 1669731) was recently fired by his former member firm in connection with alleged...
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Hoss Esmaeili: $439K Complaint Against Clever Financial Advisor
Raleigh, North Carolina financial advisor Hoss Esmaeili (CRD# 5581440) recently received an investor complaint alleging that he made unauthorized trades. Financial Industry Regulatory Authority records show that he is registered as a broker with Avantax Investment Services and an advisor with Avantax Advisory Services, doing business as Clever Financial Services.
John Marcheso: $650K Complaint Against Centaurus Advisor
Coeur D’Alene, Idaho financial advisor John Marcheso (CRD# 869337) recently received an investor complaint alleging that his conduct resulted in damages of more than $600,000. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Centaurus Financial, doing business as Marcheso and Associates.
Michael Harris: $500K-$1mm Complaint Against Merrill Advisor
Indian Wells, California financial advisor Michael Harris (CRD# 2982772) recently received an investor complaint alleging that he made unsuitable investment recommendations. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch.
Bill Morris: $100K GWG Complaint Against Cape Securities Advisor
A recent investor complaint against Bradenton, Florida financial advisor Bill Morris (CRD# 1793507) alleged that he caused damages by recommending investments in GWG L bonds. Financial Industry Regulatory Authority records show that he is registered as a broker with Cape Securities and an investment advisor with Cape Investment Services, and that he is a… Read More »
Tony daRoza: Merrill Advisor Faces Investor Complaint
San Francisco financial advisor Tony daRoza (CRD# 2087563) allegedly breached his fiduciary duty, according to an investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch.
Glen Mintz: NewEdge Advisor Received $869K Complaint
A recent, closed investor complaint against Park City, Utah financial advisor Glen Mintz (CRD# 2189984) alleged that his conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker with NewEdge Securities and an investment advisor with New Edge Wealth.
Robert Woods: Wedbush Advisor Lands $1mm Complaint
Los Angeles financial advisor Robert Woods (CRD# 820999) allegedly recommended unsuitable investments and violated industry rules, according to an investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Wedbush Securities. Mr. Woods’ BrokerCheck report discloses one investor complaint. Filed in June 2025, it… Read More »
Jerice Walker: $1mm Complaint Against Wells Fargo Advisor
Irvine, California financial advisor Jerice Walker (CRD# 5040177) 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 advisor with Wells Fargo Clearing Services and Wells Fargo Advisors, respectively. Mr. Walker’s BrokerCheck report discloses one… Read More »
Mike Ginestro: $2.4mm Complaint Against Merrill Advisor
A recent investor complaint against Los Angeles financial advisor Mike Ginestro (CRD# 2468911) alleges that his conduct resulted in more than $2 million in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch.
Ali Chehab: FINRA Files Complaint Against Ex-Merrill Advisor
Former Portland, Oregon financial advisor Ali Chehab (CRD# 7625979) was recently named respondent in a regulatory complaint alleging that he engaged in sales practice violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Merrill Lynch.
