Financial Advisor Complaints

William Weber, a financial advisor with an established history at Lincoln Investment and previously with Capital Analysts, recently appeared in BrokerCheck filings due to a tax lien. Filed publicly on February 26, 2025, and officially disclosed on BrokerCheck (CRD #4023631) on May 15, 2025, this matter has raised reasonable questions among investors. The incident draws […]

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