Financial Advisor Complaints

Chris Peitz (CRD# 2050559), a broker registered with Calton & Associates, may have misappropriated investor funds, according to a file a FINRA complaint under investigation by regulators. As a seasoned financial analyst and legal expert, I’m closely following this case to see how it unfolds and impacts Mr. Peitz’s clients. Misappropriation of funds is a […]

As a former financial advisor and legal expert with over a decade of experience, I’ve seen my fair share of cases involving advisors who have crossed the line. The recent resignation of Brian Megibow from Ameriprise Financial Services while under review for his churning and excessive trading strategy and client contact is a serious matter

I firmly believe that placing your savings in the hands of a stockbroker is an act of immense trust. This trust is predicated on the expectation that the professional you’ve selected will steward your resources with care, honesty, and your best interest as their guiding principle. But what if this trust is compromised by accusations

I’ve picked up on some concerning chatter about Glynnis Reinhart, a go-getter broker under the wing of Purshe Kaplan Sterling Investments. Her BrokerCheck record, open for anyone to see, shows a recent blip – an investor has filed a file a FINRA complaint involving her actions. If you’ve worked with her via Octavia Wealth Advisors,

Who is Chay Lapin? I’m Emily Carter, a financial analyst and writer here to discuss a matter that’s stirring discussions across the finance industry. We’re talking about Chay Thomas Lapin – a name you might have come across linked with some worrisome news. Associated with the CRD number 6275140, Lapin is a stockbroker from Torrance,

The Securities and Exchange Commission (SEC) charged One Oak Capital Management and Michael DeRosa for breaking their duties to clients. From June 2020 to October 2023, DeRosa failed to tell clients about fee changes during account switches. The firm moved more than 180 client accounts from brokerage to advisory services without proper reviews. These changes

As a financial analyst and legal expert, I’ve often said that financial regulation is a crucial part of creating transparent and fair financial markets. The recent case of Anthony Seifert, a former broker registered with Kestra Investment Services, is an example of the importance of following rules to the letter. FINRA suspended Seifert for allegedly