Financial Advisor Complaints

Secure Investment Management LLC recently found itself in the spotlight with the voluntary resignation of former advisor Edward Joseph MacPhee III, also known as Edward MacPhee. Registered under CRD #5476050, Edward MacPhee left the firm on July 17, 2026, amid a series of internal compliance concerns that have drawn the attention of both regulators and […]

Cetera Investment Services LLC and Elzie Nathaniel Ross III have recently become the focus of serious scrutiny in the financial advisory industry. Allegations of misrepresentation, concerns about product recommendations, and questions about regulatory compliance have brought the professional conduct of Elzie Ross into the spotlight. For investors, understanding the facts, the rules involved, and the

Carlton Wealth Management and its principal, William D. “Bill” Carlton (CRD #1215541), have become central figures in a prominent investment fraud case that offers crucial lessons for everyday investors. Operating through First Allied Advisory Services, Inc. and later Cetera Investment Advisers LLC, Mr. Carlton managed accounts for over 50 clients each year. His high-profile downfall

LPL Financial LLC and Stratos Wealth Partners, Ltd. are two of the most recognized names in wealth management, representing a large network of financial advisors across the United States. Among their ranks is Richard Allen Ganim Jr. (CRD #2447068), a registered investment professional whose background and pending customer dispute have recently become topics of concern

Fidelity Brokerage Services LLC and former advisor Rhiannon Hendey are the focus of a recent employment separation that has raised important questions for investors and the financial industry alike. While investment fraud and poor advice often make headlines, sometimes the critical story is about the foundational trust between firm and financial professional. In the case

Raymond James & Associates, Inc., one of America’s largest full-service investment firms, recently faced questions surrounding a customer dispute involving advisor Rebecca Citrenbaum Perkins (CRD number 2225446). The case offers a revealing look into how financial advisor complaints arise and why vigilance matters for investors of all experience levels. Allegation Against Rebecca Perkins: A Closer

Northwestern Mutual Investment Services, LLC and former financial advisor Raymond Trey Brown have recently come under scrutiny in the financial industry following a series of troubling allegations and regulatory actions. For clients who entrusted their investments and insurance needs to Raymond Brown (CRD 6170291), recent disclosures are cause for careful review and a renewed focus

The Leaders Group, Inc. and Verity Asset Management have both counted Raymond Adam Menna as a registered broker working with their investor clients. But recent disclosures on his FINRA BrokerCheck (CRD #1918097) highlight important allegations and regulatory actions that all current and future investors should be aware of. If you have ever invested with Raymond

Edward Jones and its financial advisor Randall Duane Wilson have come under regulatory scrutiny stemming from allegations concerning the handling of a client’s variable annuity following a tragic family loss. The pending action, filed by the Tennessee Department of Commerce and Insurance on July 8, 2026, centers around the financial implications of an annuity liquidation

LPL Financial LLC and financial advisor Randal Todd Petrilli (CRD #4849882) are under scrutiny following a recently disclosed customer complaint alleging a violation of Regulation Best Interest (commonly known as Reg BI). This pending dispute spotlights both the evolving standards for broker conduct and the vital importance of transparency in the investment advisory industry. What