Financial Advisor Complaints

Parkland Securities, LLC made a significant decision regarding one of its former financial advisors, Thelman Larry Anderson. On February 9, 2026, Parkland Securities discharged Thelman Larry Anderson for allegedly failing to comply with the firm’s policies related to regulatory continuing education requirements. While this infraction may seem administrative or minor at first glance, the implications […]

KCD Financial, operating as Chasewood Wealth Management, is home to financial advisor Mark Sitter (CRD# 1810591). Based in Shenandoah, Texas, Mark Sitter has worked in the securities industry for nearly 40 years, guiding countless clients through market ups and downs. Yet, like many in his profession, his record includes several customer complaints and associations that

Inspired Healthcare Capital, a prominent name in the senior living investment world, has recently entered bankruptcy, catching many investors and industry professionals by surprise. One name that appears connected to this story is Mark Sitter, a seasoned financial advisor based in Shenandoah, Texas, currently registered with KCD Financial and operating as Chasewood Wealth Management. With

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