Financial Advisor Complaints

Raymond James Financial Services is one of the most recognized names in the financial advisory world, known for its substantial national presence and reputation for client-focused investment advice. Among its network of professionals is Davee Schulte, a financial advisor based out of Chula Vista, California. As of December 2025, Davee Schulte (CRD# 2814412) finds himself […]

Cetera Investment Services and its representative, David N. Cohen, are currently at the center of a developing story involving investor trust and the critical issue of funds misappropriation. Based in Yonkers, New York, David N. Cohen (CRD# 5083883) is a broker and investment advisor with nearly two decades of experience. Investors nationwide rely on financial

Edward Jones and its former financial advisor, Robert Bienvenu, serve as a potent example of what can go wrong when transparency and regulatory compliance are neglected in the world of financial advice. The Case Against Robert Bienvenu: When Secrecy Meets Cryptocurrency When individuals entrust their savings to a financial advisor, they expect open communication and

Concorde Investment Services, operating under the brand name Fortitude Investment Group, employs Amit Urban—a financial advisor based in Ann Arbor, Maryland. As of December 2025, Mr. Urban has built a seven-year career in the securities industry. Yet in October 2025, an investor file a FINRA complaint alleging nearly half a million dollars in damages raised

UBS Financial Services and its advisor, Harold Elish, have recently found themselves under scrutiny following an investor file a FINRA complaint that brings to light critical concerns around fee transparency and investor trust. As one of the leading names in wealth management, UBS Financial Services sets expectations of rigorous standards and clear communication with its

Equitable Advisors and their representative, Joseph Lenderman (CRD# 7128657), have recently become the focus of attention following a newly disclosed investor file a FINRA complaint. Based in Fort Worth, Texas, Joseph Lenderman is a registered broker and investment advisor with five years of experience as of late 2025. As cases involving advisors at reputable firms

Comprehensive Investment Services and its former advisor, Robert Mitchell Thompson, have recently come under scrutiny after allegations emerged regarding unsuitable investment recommendations and failures in fiduciary duty. This case serves as a cautionary tale for investors, highlighting the importance of due diligence when selecting a financial advisor and understanding their responsibilities under industry regulations. Allegation

UBS Financial Services and former broker Greg Grajek have recently drawn the attention of both investors and regulators due to an ongoing series of investor disputes. For everyday investors, understanding these cases is critical to making informed decisions about who handles your money. Understanding the Greg Grajek Investor Disputes: What Everyday Investors Need to Know

LPL Financial made headlines in late 2025 when it terminated broker Nick Olivas, a registered financial advisor based in Irvine, California. For investors, sudden departures always raise questions—and when the company attributed the firing to a compliance violation involving business communications conducted via an unapproved email address, the industry took notice. The story of what

LPL Enterprise and its registered representative, Samuel Warner, find themselves at the center of a recent investor file a FINRA complaint—one that, while straightforward in its claim, highlights deeper challenges faced by investors navigating complex financial products. This case concerns a single, pivotal question: Was full disclosure provided about surrender charges, and what does this