Financial Advisor Complaints

Wells Fargo Clearing Services and advisor Mickey Zayas recently came into the public spotlight after disclosure of a civil lien on the advisor’s record. According to the prestigious brokerage resources such as FINRA’s BrokerCheck, Mickey Zayas, identified by CRD number 5857177, currently holds registration as a broker affiliated with Wells Fargo Clearing Services, a significant […]

In February 2025, financial advisor Michael DeWitt, who was previously associated with Fidelity Brokerage Services LLC, resigned under circumstances that have sparked significant public and industry interest. When financial professionals leave positions amid investigations, it’s understandable for the investing public to feel unsettled. Investors often question whether their financial interests were properly prioritized or if

Thrivent Investment Management and one of its former financial advisors, Luke Kloosterman, are making headlines due to recent developments concerning adviser termination and investor concerns. According to documentation gathered from FINRA’s BrokerCheck database, Luke Kloosterman (CRD#: 7140599) was discharged from his previous employment as a broker at Thrivent Investment Management on February 26, 2025, due

Moors & Cabot recently made headlines due to the dismissal of one of its financial advisors, James Pillow. The circumstances surrounding his departure offer insights into crucial aspects of financial advising: trust, good record-keeping, and transparency between advisor and client. According to records accessed on May 15, 2025, via FINRA BrokerCheck, James Pillow (CRD #: