Emily

Whitehall-Parker Securities and its former financial advisor, James Lamont, are names that have become familiar to some investors in San Francisco and beyond for all the wrong reasons. Over a career spanning 22 years, James Lamont—most recently registered with Whitehall-Parker Securities—has amassed a series of customer disputes and settlements that highlight important lessons about the […]

Charles Schwab & Co., Inc. and Steven Kim (CRD #: 7044604) are now connected by an incident that highlights the importance of regulatory compliance in the financial advisory industry. The episode centers on Steven Kim, a financial advisor whose career path traversed many respected firms—only for recordkeeping practices to cut his trajectory short. What happened

Arkadios Capital and financial advisor Jennifer Li are currently in the spotlight, with an investor file a FINRA complaint highlighting the crucial importance of transparency and integrity in finance. Based in Atlanta, Georgia, Jennifer Li (CRD# 4871851) serves as a broker with Arkadios Capital and an investment advisor through Arkadios Wealth Advisors, operating under the

Arkadios Capital and Jennifer Li are at the center of a pending investor file a FINRA complaint that underscores how the relationship between financial advisor and client can unravel. In February 2026, an investor complaint was filed against Jennifer Li (CRD# 4871851) and involves allegations that are all too familiar in the world of finance:

Voya Financial Advisors, Inc. is a well-recognized institution in the world of retirement planning and wealth management, and like many major firms, its reputation is closely tied to the performance and regulatory record of its representatives. Among these professionals, Salvatore Anthony LaRocca—whose regulatory and disciplinary history is now a matter of public record—offers an important

Raymond James & Associates and financial advisor Tim Dorothy—registered broker and investment advisor based in Atlanta, Georgia—recently faced a file a FINRA complaint that underscores a critical issue in investment management: illiquidity. The case sheds light on how mismatched recommendations can jeopardize client trust and reveals the importance of understanding both product suitability and an

Raymond James & Associates and its Atlanta, Georgia-based financial advisor, Tim Dorothy (CRD# 6600401), recently faced investor scrutiny due to a customer file a FINRA complaint involving an allegedly unsuitable investment recommendation. This matter, filed in January 2026, highlights the complexities surrounding illiquid investments, the responsibilities of financial professionals, and the protections in place for

Equitable Advisors, LLC and financial advisor Sailesh G Mehta (CRD #7005972) recently found themselves at the center of a customer file a FINRA complaint surrounding the sale of a variable annuity. When investors work with professionals to manage their wealth, transparency and clear communication are crucial—but, as this situation highlights, misunderstandings and disputes can still

Cetera Wealth Services and Gary Frisch are under renewed scrutiny following a recent investor allegation that underscores the importance of trust and transparency in the financial advisory profession. Gary Frisch, a financial advisor based in Surprise, Arizona, currently registered with Cetera Wealth Services and operating under Landmark Financial, faces a serious file a FINRA complaint

Landmark Financial and its advisor, Gary Frisch (CRD #5037164), are currently the focus of a significant file a FINRA complaint from an investor in Surprise, Arizona. The investor alleges unauthorized trading that resulted in losses of over $112,000, raising fresh concerns about advisor-client trust, industry oversight, and the lasting impact of even a single disclosure