Financial Advisor Complaints

Osaic Wealth, Inc. and Sanders Smith Limited count Steven B. Sanders among their registered financial advisors, but recent regulatory actions in Maryland highlight the critical importance of transparency in the financial advice industry. Steven B. Sanders (CRD #1852994) came under scrutiny when Maryland securities regulators discovered he failed to disclose multiple IRS tax liens on […]

Newbridge Securities Corporation and former financial advisor Elaine Zito have found themselves in the spotlight after a series of investor complaints and settlements have brought scrutiny to her lengthy career in the financial services industry. Based in Scottsdale, Arizona, and holding over 22 years of experience, Elaine Zito’s professional history has come under question—a reminder

Newbridge Securities Corporation and former financial advisor Elaine Zito (CRD# 2849238) have recently come under scrutiny due to a growing pattern of investor complaints. With a career spanning over two decades, Elaine Zito built her practice in Scottsdale, Arizona, but in recent years, her name has become associated with several high-profile disputes involving significant client

Black Coral Financial Advisors, LLC and investment adviser representative Stephen Paul Liska recently became the focus of statewide regulatory attention—a powerful reminder that when it comes to the world of finance, the proper paperwork matters just as much as investment performance. On February 2, 2026, the Florida Office of Financial Regulation took decisive action against

Berthel Fisher & Company, operating under the name Cantel Wealth Management, is home to financial advisor Brian Cantel, a seasoned broker with 38 years of experience in the securities industry. Based in Flowery Branch, Georgia, Mr. Cantel boasts a career that includes license registrations in Arizona, Florida, and Georgia, and prior affiliation with firms such

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