Financial Advisor Complaints

TCFG Wealth Management and its representative, Rick Roberts, have recently become the focus of heightened investor scrutiny following a significant investor complaint and a prior regulatory enforcement action. Based in Laguna Niguel, California, Rick Roberts (CRD# 2145874) has been registered with TCFG Wealth Management since 2012, bringing over 19 years of experience in the securities […]

UBS Financial Services and legal advocate Jason Haselkorn have become central figures in recent discussions about investor protection in the financial services industry. As a securities fraud attorney at Kurta Law, Jason Haselkornhas successfully represented clients, such as Lou Maiolo, who suffered losses due to questionable trading practices. These high-profile cases shed light on critical

Wealth Enhancement Advisory Group and Wealth Enhancement Advisory Services form the professional home of Kelly Crane, a financial advisor based in St. Helena, California. With a securities industry career spanning 42 years and a reputation that had, until recently, remained unblemished, Kelly Crane (CRD #1236296) finds himself at the center of a pending $60,000 investor

JP Morgan Securities and its longtime advisor, Pat Gorand, are at the center of a substantial investor complaint that shines a spotlight on the obligations financial professionals owe to their clients. The case involves an allegation from a client who asserts they lost $1 million after being recommended unsuitable limited partnership investments while working with

UBS Financial Services and one of its financial advisors are at the heart of serious allegations that are causing many investors to question the foundations of trust in the wealth management industry. When you entrust your life savings to an advisor, you expect transparency and honest guidance—but recent developments underscore how dangerous it can be

Realta Equities and Realta Investment Advisors are two familiar names on the regulatory profile of Dan Holzer, a Wilmington, Delaware–based financial advisor with 14 years of industry experience. As of April 2026, Dan Holzer holds registrations with both firms and manages relationships with clients across 25 states. But in the world of investing, experience and

Wealth Enhancement Advisory Services and financial advisor Kelly Crane are once again in the spotlight following a customer complaint that touches on the complex relationship between trust and risk in the world of investing. In a field where expertise and the promise of putting clients first underpin every interaction, the conduct of even the most

Ameriprise Financial Services and its registered representative, Michael Thompson, are at the center of a financial scandal raising difficult questions about trust and oversight in the investment industry. While investors often rely on their advisors to safeguard their financial futures, recent allegations suggest that misplaced trust can have devastating consequences—and that verifying an advisor’s background

Realta Equities and its advisor, Dan Holzer, are drawing investor scrutiny in Wilmington, Delaware, raising questions about trust, transparency, and professionalism in the financial advisory world. Over the past 14 years, Dan Holzer (CRD# 5779187) has carved out a career at the intersection of client ambitions and market realities, holding positions at firms including Wells

LPL Financial LLC found itself in the headlines when it discharged financial advisor William Bernard Tunink in September 2025, following serious allegations related to borrowing money from clients. The case surrounding Tunink, who also had prior affiliations with Avantax Investment Services, Inc., offers a cautionary tale about the essential role of trust between investors and