Financial Advisor Complaints

Raymond James & Associates is home to many experienced financial professionals, including Rick Umbarger, who is based in Newport Beach, California. With a career spanning nearly three decades, Rick Umbarger (CRD# 3132496) has cultivated a reputation for navigating complex markets on behalf of his clients. However, even the most seasoned advisors face challenges that test […]

Raymond James & Associates, a leading financial services firm, employs experienced financial advisor Rick Umbarger at its Newport Beach, California branch. With 27 years in the securities industry, Rick Umbarger has built a reputation for guiding investors through the complexities of financial planning and investment management. However, as with any career marked by both accomplishments

Charles Schwab & Co., Inc. and former manager Thomas Marshall McConnell III have recently brought industry attention to important issues of oversight and ethics in financial advisory services. The financial services industry’s foundation is built on trust—when breaches occur, even if they do not cause direct client harm, reputational and regulatory repercussions can be significant.

Independent Financial Group, doing business as Sentinel Financial Group, became the focus of significant investor scrutiny when one of its financial advisors, Ittai Dvir (CRD# 5692050), was named in a recent investor file a FINRA complaint. Based in North Bethesda, Maryland, Ittai Dvir is an advisor whose professional record, until now, had been unblemished over

Independent Financial Group and financial advisor Ittai Dvir—registered in North Bethesda, Maryland and currently doing business as Sentinel Financial Group—are at the center of a significant pending investor file a FINRA complaint that serves as both cautionary tale and learning opportunity for anyone considering complex investments such as non-traded real estate investment trusts (REITs). This

LPL Financial LLC and advisor Thomas Edward Vermeulen have recently drawn attention within the investment community due to customer complaints related to investment advice and fund liquidity disclosures. As an investor, understanding these cases is essential—not only to assess the track record of a particular advisor but also to learn about your own rights and

Great Point Capital and its financial advisor, Hunter Jones of Lakewood, Colorado (CRD# 5169688), are currently facing scrutiny after a recent investor file a FINRA complaint alleges that an unsuitable Delaware Statutory Trust (DST) investment was recommended to a client. The complaint, filed in December 2025, claims nearly $475,000 in damages, raising important questions for

Great Point Capital and financial advisor Hunter Jones are currently facing significant scrutiny in the financial advisory world. Hunter Jones, a registered representative based in Lakewood, Colorado, has built an 18-year career in the securities industry. With a resume spanning reputable firms such as Colorado Financial Services Corporation, Alps Distributors, Alps Portfolio Solutions Distributor, Janus

Equitable Advisors, LLC, along with its former representative Ted Chen, is at the center of a pending customer dispute that underlines the challenges investors face when navigating complex financial products like structured products. As trust is the foundation of the financial advisory relationship, this case brings into focus the duties advisors owe their clients –