Financial Advisor Complaints

Voya Financial Advisors, Inc. is a well-recognized institution in the world of retirement planning and wealth management, and like many major firms, its reputation is closely tied to the performance and regulatory record of its representatives. Among these professionals, Salvatore Anthony LaRocca—whose regulatory and disciplinary history is now a matter of public record—offers an important […]

Raymond James & Associates and financial advisor Tim Dorothy—registered broker and investment advisor based in Atlanta, Georgia—recently faced a file a FINRA complaint that underscores a critical issue in investment management: illiquidity. The case sheds light on how mismatched recommendations can jeopardize client trust and reveals the importance of understanding both product suitability and an

Raymond James & Associates and its Atlanta, Georgia-based financial advisor, Tim Dorothy (CRD# 6600401), recently faced investor scrutiny due to a customer file a FINRA complaint involving an allegedly unsuitable investment recommendation. This matter, filed in January 2026, highlights the complexities surrounding illiquid investments, the responsibilities of financial professionals, and the protections in place for

Equitable Advisors, LLC and financial advisor Sailesh G Mehta (CRD #7005972) recently found themselves at the center of a customer file a FINRA complaint surrounding the sale of a variable annuity. When investors work with professionals to manage their wealth, transparency and clear communication are crucial—but, as this situation highlights, misunderstandings and disputes can still

Cetera Wealth Services and Gary Frisch are under renewed scrutiny following a recent investor allegation that underscores the importance of trust and transparency in the financial advisory profession. Gary Frisch, a financial advisor based in Surprise, Arizona, currently registered with Cetera Wealth Services and operating under Landmark Financial, faces a serious file a FINRA complaint

Landmark Financial and its advisor, Gary Frisch (CRD #5037164), are currently the focus of a significant file a FINRA complaint from an investor in Surprise, Arizona. The investor alleges unauthorized trading that resulted in losses of over $112,000, raising fresh concerns about advisor-client trust, industry oversight, and the lasting impact of even a single disclosure

Charles Schwab & Co., Inc. and former broker Ryan David Hinsen now find themselves at the center of an unsettling case that exposes the vulnerabilities in the advisor-client relationship. The financial services industry relies fundamentally on trust: trust that your advisor will honor your directives, trust that every transaction is undertaken with your knowledge, and

Cetera Advisor Networks, through its branch Landmark Financial Advisors in Surprise, Arizona, is currently under the spotlight due to an ongoing file a FINRA complaint involving one of its financial advisors, Ann Reagan (CRD# 5597215). With over 13 years of experience in the securities industry and professional credentials such as the SIE, Series 66, and

Cetera Advisors LLC and its financial advisor, Ann Reagan (CRD# 5597215), are currently the focus of a significant investor file a FINRA complaint in Surprise, Arizona. As of March 2026, Ann Reagan is facing allegations of unauthorized trading during her prior tenure at Avantax Investment Services, with at least one investor seeking damages of $112,766.

Spartan Capital Securities, LLC and former broker Ronald G. Smith (CRD #6038062) recently came under scrutiny after a regulatory case that highlights fundamental issues in the securities industry—particularly the importance of transparency and cooperation with regulatory bodies. In November 2025, Ronald G. Smith made a pivotal decision that ultimately ended his career. When the Financial