Financial Advisor Complaints

StartEngine Primary LLC and its former broker Brian Moran (CRD 1940341) have recently come under scrutiny following a significant disciplinary action by the Financial Industry Regulatory Authority (FINRA). On October 9, 2025, FINRA imposed a three-month suspension on Brian Moran for violations related to net capital requirements—rules that exist to safeguard client funds and promote confidence […]

Osaic Wealth, doing business as Platinum Wealth Solutions of Texas, is a name well known in the San Antonio financial community. For years, investors seeking guidance may have encountered Ron Botello, a veteran financial advisor with a career spanning two decades. But beneath the reputation and the credentials lies a story that offers vital lessons

Emerson Equity, a broker-dealer based in McKinney, Texas, is home to the experienced financial advisor Phillip Falk—an industry veteran currently under scrutiny due to a recent investor file a FINRA complaint. With over three decades of securities industry service and a reputation for passing the industry’s most demanding broker exams, Phillip Falk (CRD# 2372997) is

KCD Financial and advisor Brett Frum are at the center of a significant investor file a FINRA complaint filed in September 2025, allegedly involving high-risk private placement recommendations made in Tarpon Springs, Florida. With over two decades in the financial industry, Brett Frum (CRD#2175253) has established a lengthy professional track record. However, the recent pending

JP Morgan Securities and financial advisor Christina Lee are facing intense scrutiny after a pending investor file a FINRA complaint alleges more than $90 million in damages tied to controversial trades at the San Francisco branch. As of December 27, 2025, Ms. Lee (CRD# 7318401)—a registered broker and investment advisor since 2022—remains under investigation over

Cetera Wealth Services finds itself in the spotlight as one of its Brooklyn-based financial advisors, Richard Huppert, faces a high-stakes investor file a FINRA complaint alleging serious missteps in options trading. The case underscores the critical importance of trust in the financial services industry and illustrates why investors must stay vigilant—even when working with experienced

Wells Fargo Clearing Services and financial advisor Mood ElAwadi are at the center of a significant investor file a FINRA complaint that raises deeply important questions about trust, transparency, and regulatory safeguards within the financial services industry. Based in Orlando, Florida, Mood ElAwadi is a seasoned advisor with 18 years of industry experience, registered as

Carlson Law is currently investigating cases involving financial advisors and brokers who recommended the Easterly ROCMuni High Income Municipal Bond Fund to their clients, many of whom suffered devastating losses. For years, municipal bonds have been marketed as reliable, low-risk investments ideal for capital preservation and steady, tax-exempt income. However, recent developments surrounding this fund

Ameriprise Financial Services and financial advisor Chong Zhang are facing profound scrutiny following a substantial investor file a FINRA complaint that raises critical questions about technology, trust, and the responsibilities of investment professionals. Chong Zhang, based in Rancho Cucamonga, California, has enjoyed a decade-long career in financial services, previously serving with Edward Jones in Alta

Emerson Equity and investment advisor Chris Rogers are at the center of a significant investor file a FINRA complaint that has drawn attention in the financial advisory world. Based in Englewood, Colorado, Chris Rogers is currently registered as a broker with Emerson Equity and as an investment advisor with Ridgegate Advisors. In November 2025, his