Centerville, Ohio financial advisor James Ratliff (CRD# 1669731) was recently fired by his former member firm in connection with alleged...
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White River Energy Tax Credits: Investors May Have Recovery Options
Investors who suffered losses on “tribal tax credits” promoted by White River Energy Corp. may have recovery options. Carlson Law is investigating potential claims in connection with these credits. The Internal Revenue Service stated in a recent release that such tax credits “do not exist.” Brokers and broker-dealer firms who recommend them to retail… Read More »
Bob Kromer: RK Retirement Advisor Receives Fraud Complaint
Sun City West, Arizona financial advisor Bob Kromer (CRD# 1448765) recently received an investor complaint that alleged fraud and reached a six-figure settlement. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Securities America broker is currently registered as an investment advisor with RK Retirement Solutions.
David Farber: SEC Investigates Broad Street Advisor
Maitland, Florida financial advisor David Farber (CRD# 3181573) has been named in an investigation by the Securities and Exchange Commission. Financial Industry Regulatory Authority records show that he is registered as a broker with Broad Street Capital Markets.
Damon Testaverde: Network 1 Advisor Faces SEC Probe
Red Bank, New Jersey financial advisor Damon Testaverde (CRD# 444453) is under investigation by the Securities and Exchange Commission. Financial Industry Regulatory Authority records show that he is registered as a broker with Network 1 Financial Securities.
Sterling Louviere: Cabin Advisor Faces $1.2mm Complaint
A recent investor complaint against Pasadena, California financial advisor Sterling Louviere (CRD# 2021328) alleges 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 Cabin Securities and Cabin Advisors, respectively.
Kirsten Gillen: $1.7mm Complaint Against Northwestern Advisor
Minneapolis, Minnesota financial advisor Kirsten Gillen (CRD# 5981051) allegedly failed to act in her customers’ best interest, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is registered as a broker with Northwestern Mutual Investment Services.
Eric Kleiner: Barred Morgan Stanley Advisor Lands 6-Figure Complaints
The former New York City-based financial advisor Eric Kleiner (CRD# 4135180) has received multiple investor complaints alleging that he recommended unapproved outside investments. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Morgan Stanley. In 2025 FINRA barred him from acting as a broker in connection with… Read More »
Tony Hazen: Fraud Complaint Against Vistia, Ex-Patrick Capital Advisor
A recent investor complaint against Lone Tree, Colorado financial advisor Tony Hazen (CRD# 2384836) alleges that he committed fraud and made unsuitable recommendations. Financial Industry Regulatory Authority records show that he is registered as a broker with Vistia Capital, having previously been registered with Patrick Capital Markets.
David Engel: Wells Fargo Advisor Faces $1mm Complaint
A recent investor complaint against Philadelphia, Pennsylvania financial advisor David Engel (CRD# 4909432) alleges that he made unauthorized transfers. 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.
Nathan Warwick: Merrill Lynch Advisor Receives Suitability Complaint
Phoenix, Arizona financial advisor Nathan Warwick (CRD# 6942391) recently received an investor complaint alleging that he violated industry rules, leading to damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch.
