Indianapolis, Indiana financial advisor J. Keith Stucker (CRD# 1094241) allegedly churned investments, according to a recent, denied investor complaint. Financial...
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Nick Photiadis: $288K REIT Complaint Against LPL Advisor
Paramus, New Jersey financial advisor Nick Photiadis (CRD# 2978120) recently received an investor complaint alleging 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 LPL Financial.
Jim Ratigan: Rockefeller Advisor Lands Investor Complaint
Doral, Florida financial advisor Jim Ratigan (CRD# 2164078) allegedly made misrepresentations of material facts, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Seabrook Partners and an investment advisor with Rockefeller Financial.
Chris Chlupp: Baird Advisor Received Investor Complaint
A recent, denied investor complaint against West Bend, Wisconsin financial advisor Chris Chlupp (CRD# 2950578) alleges that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Robert W. Baird.
Mark Kissinger: Suitability Complaint Against NYLife Advisor
A recent investor complaint against Frisco, Texas financial advisor Mark Kissinger (CRD# 4546631) alleges that he recommended an unsuitable investment. Financial Industry Regulatory Authority records show that he is registered as a broker with NYLife Securities and an investment advisor with Eagle Strategies, doing business as Kissinger Financial Services.
Steve Wilkinson: $325K Complaint Against Wilkinson Wealth Advisor
Oakland, California financial advisor Steve Wilkinson (CRD# 1180321) allegedly did not act in a customer’s best interest, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, doing business as Wilkinson Wealth Management.
Jacob Adams: $500K Complaint Against Ex-Realized Financial Advisor
A recent investor complaint against Austin, Texas financial advisor Jacob Adams (CRD# 4975889) 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 Principal Securities, having previously been registered with Realized Financial.
Justin Hoyt: Why Did Osaic Advisor Resign from Ameriprise?
Gilbert, Arizona financial advisor Justin Hoyt (CRD# 4690876) recently resigned from his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Ameriprise Financial Services representative is currently registered as a broker and an investment advisor with Osaic Wealth.
Justin Bender: Merrill Advisor Received $100K Complaint
A recent, closed investor complaint against Jacksonville, Florida financial advisor Justin Bender (CRD# 5949569) alleged that he stole funds. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch.
B. Riley Shareholder Lawsuit: Franchise Group Allegations
A shareholder derivative lawsuit alleges that executives at broker-dealer firm B. Riley & Financial breached their fiduciary duties and failed to disclose material facts relating to the company’s relationship with the former CEO of another company called Franchise Group, according to a January 2026 report by InvestmentNews.
Rick Abbe: LPL Advisor Faced Investor Complaint
A recent, denied investor complaint against San Diego, California financial advisor Rick Abbe (CRD# 1366957) alleges that his advice 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 Abbe Strategic Advisors.
