Financial Advisor Complaints

J.P. Morgan Securities LLC and financial advisor Milka L Micic have recently come under scrutiny due to a pending arbitration claim that raises vital questions about client trust, risk management, and the responsibilities of professional advisors. Investors rightly expect that when they entrust a significant sum—such as $10 million—to a financial professional, their instructions will […]

LPL Financial recently parted ways with one of its longtime advisors, Philip Joseph Griggs, highlighting major issues that every investor should be aware of before entrusting anyone with their money. According to publicly available records, Philip Griggs (CRD #4440889) was discharged on April 4, 2026, by LPL Financial Corporation after allegedly failing to report serious

LPL Financial LLC and its registered broker, Michael Anthony Calabrese (CRD #4810340), are currently at the center of a client dispute that raises timely questions for retail investors regarding tax disclosure and the advisory process. Understanding what happened, the regulations that apply, and the broader context of investment advice can help informed investors protect their

Wells Fargo Clearing Services, LLC and Wells Fargo Advisors currently list Michael Aaron Rosen as a registered broker. Recently, his approach to managing retirement assets has come under scrutiny due to customer complaints related to retirement account guidance. Understanding these events can help everyday investors protect themselves when seeking advice about their financial future. The

Ameriprise Financial Services, LLC and its associated financial advisor, Melford George Brown Jr., are names that may be familiar to some investors—especially those who have recently reviewed or are considering reviewing their investment advisor’s professional history. Understanding the background and recent disclosures involving Melford George Brown Jr. is not just due diligence—it is an important

Wells Fargo Advisors and their representative, Matthew Garret Gross (CRD #4763385), have recently attracted attention due to a significant customer complaint involving allegations of investment fraud and failure to protect against scam-related activity. For investors, trust is an essential part of any financial relationship. When a customer entrusts their future to a financial advisor, the

Osaic Wealth, Inc. and financial advisor Matthew David Calhoun (CRD #4425914) recently faced a noteworthy investor complaint involving a private placement recommendation. For investors, understanding what happened in cases like these can help highlight important lessons around financial regulations, risky investment products, and the importance of due diligence before making investment decisions. Background of the

Cetera Wealth Services, LLC and advisor Matthew Blaise White have recently come under scrutiny due to new allegations of unsuitable investment recommendations, including claims involving high-risk oil and gas investments. As investors increasingly rely on the expertise of seasoned advisors like Matthew White, understanding the complexities of advisory conduct—and knowing your rights—is essential in today’s

J.P. Morgan Securities LLC is a household name in financial services, and so is Mary Duncan within certain circles of the industry. As a registered advisor with decades of experience and a career spanning some of the largest and most respected firms, her reputation matters not just to her, but to every client who has

Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc. count among their current financial advisors Mark James Derosa (CRD #4180250). For investors researching their financial professionals, understanding both credentials and any regulatory disclosures is essential. In what follows, we examine Mark Derosa’s background, the details of his regulatory action, and practical lessons for investors