Financial Advisor Complaints

Berthel Fisher & Company and financial advisor Brian Cantel have recently come under scrutiny due to a rising pattern of investor complaints stemming from their operations in Flowery Branch, Georgia. With a career spanning 38 years in the securities industry, Brian Cantel’s reputation is facing questions as allegations of unsuitable investment recommendations and substantial financial […]

W&S Brokerage Services, Inc. made headlines in the financial services sector after severing ties with Thomas Alexander Hairston (CRD #2353179) on November 24, 2025. This action followed an internal investigation revealing that Hairston had violated both the code of conduct and the firm’s outside business activities policy. But what do these violations really mean for

Inspired Healthcare Capital and its relationship with James Lamont have become the subject of deep scrutiny among investors in San Francisco and beyond. Once a trusted financial advisor with over two decades of industry experience, James Lamont now stands as a cautionary figure in the world of investment advice—a reminder that trust and transparency must

Whitehall-Parker Securities and its former financial advisor, James Lamont, are names that have become familiar to some investors in San Francisco and beyond for all the wrong reasons. Over a career spanning 22 years, James Lamont—most recently registered with Whitehall-Parker Securities—has amassed a series of customer disputes and settlements that highlight important lessons about the

Charles Schwab & Co., Inc. and Steven Kim (CRD #: 7044604) are now connected by an incident that highlights the importance of regulatory compliance in the financial advisory industry. The episode centers on Steven Kim, a financial advisor whose career path traversed many respected firms—only for recordkeeping practices to cut his trajectory short. What happened

Arkadios Capital and financial advisor Jennifer Li are currently in the spotlight, with an investor file a FINRA complaint highlighting the crucial importance of transparency and integrity in finance. Based in Atlanta, Georgia, Jennifer Li (CRD# 4871851) serves as a broker with Arkadios Capital and an investment advisor through Arkadios Wealth Advisors, operating under the

Arkadios Capital and Jennifer Li are at the center of a pending investor file a FINRA complaint that underscores how the relationship between financial advisor and client can unravel. In February 2026, an investor complaint was filed against Jennifer Li (CRD# 4871851) and involves allegations that are all too familiar in the world of finance:

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