Financial Advisor Complaints

LPL Financial LLC found itself in the headlines when it discharged financial advisor William Bernard Tunink in September 2025, following serious allegations related to borrowing money from clients. The case surrounding Tunink, who also had prior affiliations with Avantax Investment Services, Inc., offers a cautionary tale about the essential role of trust between investors and […]

Carter Terry & Company, a well-established brokerage and investment advisory firm based in Atlanta, Georgia, is currently seeing its reputation tested by recent complaints involving one of its experienced advisors, Sandy Leff. With a distinguished career spanning 38 years in the securities industry, Sandy Leff (CRD# 1796695) has been a registered broker and investment advisor

Carter Terry & Company and its Atlanta-based advisor, Sandy Leff, have been cast into the spotlight following recent allegations of unsuitable investment recommendations. With a career spanning nearly four decades and registrations across 27 states, Sandy Leff (CRD# 1796695) has developed a reputation for both longevity and experience. Yet, two pending complaints from March 2026

A.G. Morgan Financial Advisors and its former principal, Vincent Jerome Camarda (CRD 2463703), have come under sharp regulatory scrutiny in recent years. The unfolding story of Vincent Camarda is more than a single advisor’s alleged wrongdoing; it’s a case study in why investor diligence, regulatory oversight, and persistent vigilance are essential in safeguarding financial futures.

Great Point Capital and financial advisor Dan Goodwin have recently come under investor scrutiny after two large investor complaints were filed in early 2026. Based in The Woodlands, Texas, Dan Goodwin (CRD# 5752768) is an experienced financial professional with a long record—yet the recent allegations regarding his time at AAG Capital are a reminder of

Great Point Capital recently welcomed Dan Goodwin to its team, a name with sixteen years of experience as a financial advisor in The Woodlands, Texas. Yet, as with many professionals in the securities industry, the length of a résumé does not always guarantee a clean record. Dan Goodwin (CRD# 5752768) currently faces investor complaints totaling

Spartan Capital Securities, LLC and financial advisor Tory A. Duggins have recently come under heightened regulatory scrutiny, drawing the attention of both industry experts and investors. Understanding the case history of Tory A. Duggins (see his BrokerCheck Record) provides vital lessons for anyone seeking trustworthy financial guidance. What follows is a detailed exploration of the

Morgan Stanley and its Atlanta-based financial advisor, Michael Wagner, are once again in the spotlight amid mounting concerns from investors about the suitability of certain options trading strategies. With over two decades of experience and a resume that includes major firms like Merrill Lynch and Morgan Stanley, Michael Wagner (CRD# 4465334) exemplifies the type of

Morgan Stanley and its Atlanta-based advisor, Michael Wagner, are currently facing heightened scrutiny after a new investor file a FINRA complaint landed on top of a series of similar disputes. Michael Wagner (CRD# 4465334), who has spent over two decades in the securities industry, now contends with his fourth customer complaint—each involving allegations of improper

Raymond James & Associates, Inc. and its registered representative Timothy John Dorothy Jr. have recently come under the spotlight for a customer FINRA arbitration what to expect that underscores the crucial role of investment suitability in financial advising. As investors strive to navigate ever-more complex products and regulations, such cases serve as important reminders of