Financial Advisor Complaints

Realta Equities and their advisor, Jacob Harvey (CRD# 6410027), are now under scrutiny following a substantial investor file a FINRA complaint. Based in Neosho, Missouri, Harvey has been a registered broker with Realta Equities and an investment advisor with Realta Investment Advisors since 2022, offering financial guidance to clients for more than a decade. However, […]

Realta Equities and financial advisor Jacob Harvey are currently in the spotlight following a recent investor file a FINRA complaint that raises pressing questions about the standards of advice provided within today’s financial industry. Trust is the cornerstone of the client-advisor relationship—a fact that becomes painfully clear when an investor alleges harm after following an

Merrill Lynch, Pierce, Fenner & Smith Incorporated was until recently the workplace of financial advisor William Bryan, whose career trajectory offers a cautionary, real-world lesson on the importance of transparency in the financial services industry. On February 4, 2026, the Financial Industry Regulatory Authority (FINRA) took the decisive step of permanently barring William Bryan (CRD

Great Point Capital and financial advisor Reed Haimson are at the center of a pending investor file a FINRA complaint raising questions about suitability, due diligence, and the advisory what happens after you file a FINRA complaint in today’s complex investment landscape. The case, involving a $475,000 Delaware statutory trust (DST) allegation, highlights the risks

Great Point Capital and its financial advisor Reed Haimson have recently come under scrutiny following a pending investor file a FINRA complaint that could have significant implications for both parties. Based in Lakewood, Colorado, Reed Haimson (CRD# 5533993) has been active in the securities industry for 14 years, with a professional track record that, until

**Stifel, Nicolaus & Company, Incorporated** found itself at the center of regulatory scrutiny due to the actions of one of its former financial advisors, **Todd Peter Arnoldussen**. Investors place great trust in their financial advisors, expecting not only sound advice but also honest and transparent handling of their investments. The case involving **Todd Arnoldussen** (CRD

Raymond James & Associates has long been recognized as a significant force in the financial advisory industry, particularly in the bustling markets of California. Among its ranks is Jeff Frankos, a veteran broker and investment advisor with a career spanning over two decades. However, a recent multi-million-dollar investor file a FINRA complaint has cast the

KeyCity Capital—now known as Lasater Capital, LLC—and two registered financial advisors, Stephen Patterson and Nathaniel Goad, are at the center of a real estate investment controversy that has left many accredited investors facing significant losses. These events unfold as a powerful reminder of the importance of due diligence and understanding your advisor’s background before making

Todd Hanton Kennedy is an experienced financial advisor currently associated with the financial services industry and identified by CRD Number 1002060. Recently, Kennedy and his affiliated company have become the focus of a customer file a FINRA complaint that brings to light the persistent challenges investors may face when it comes to receiving suitable investment

Merrill Lynch finds itself facing serious scrutiny as one of its longtime financial advisors, Fabio de Andrade (CRD #4671838), is named in a substantial investor file a FINRA complaint. Based in Kansas City, Missouri, Fabio de Andrade has served with Merrill Lynch since 2004 and brings more than 22 years of experience to the financial