Financial Advisor Complaints

Kestra Investment Services, a widely recognized independent broker-dealer providing compliance and back-office support to financial advisors nationwide, has found itself facing a challenging situation involving a former affiliated advisor, Christopher Ziogas (CRD #: 1110989). Recently, serious criminal charges have been formally filed against Mr. Ziogas, leading to his termination from the firm. Given the gravity […]

Merrill Lynch, Pierce, Fenner & Smith Incorporated recently experienced the resignation of advisor Mark Willets, whose BrokerCheck record indicates he resigned amid an internal review of his business practices. As a seasoned financial advisor, Willets previously maintained registrations with notable companies including LPL Financial and Stratos Wealth Partners. Investors may verify this information directly through

PFS Investments recently terminated financial advisor Christopher Denis (CRD #: 7315092) following regulatory actions by the Financial Industry Regulatory Authority (file a FINRA complaint). This event marked a significant disruption in the professional trajectory of Denis, who served as a broker with PFS Investments, a subsidiary of Primerica known for assisting everyday investors with mutual

Marc Miller, currently a registered broker affiliated with Wedbush Securities, faces scrutiny due to allegations of unsuitable investment recommendations. According to the public records on his BrokerCheck profile (CRD #: 1133692), an official file a FINRA complaint was filed against him on March 3, 2025, alleging he recommended a financial product that did not properly