Financial Advisor Complaints

Edward Jones and one of its former financial advisors, Guru Sowle (CRD #:7234667), have recently come under industry scrutiny following the voluntary resignation of Sowle amid allegations of improper professional conduct. On August 22, 2025, Guru Sowle left his role at Edward Jones after the firm initiated an internal review into questionable churning and excessive […]

Cova Capital Partners and veteran financial advisor Matthew Zagon are at the center of recent scrutiny in the financial services sector following fresh allegations of investment misrepresentation. Based in Syosset, New York, Matthew Zagon currently serves as a registered representative with Cova Capital Partners, bringing with him nearly two decades of industry experience. Yet recent

Charles Schwab & Co. recently found itself in the spotlight following the termination of one of its financial advisors, Jeff Kronschnabl (CRD #: 4346610). The decision, made public on August 22, 2025, has generated significant attention within the financial services community. As with any high-profile employment separation, understanding the facts, implications, and broader industry context

Voya Financial Advisors and its long-term representative, Sal LaRocca, based in Melville, New York, have come under renewed scrutiny following recent regulatory actions and client complaints. With a career spanning nearly four decades in the securities industry, Sal LaRocca (CRD# 1742689) reflects the complexities and responsibilities inherent in providing wealth management and financial planning services.

LPL Financial, a leading brokerage firm, has made headlines with the recent termination of one of its registered representatives, Timothy Volker. According to disclosures published on October 7, 2025, the decision to sever ties with Volker (CRD #: 6822657) was taken after a series of serious allegations regarding his professional conduct came to light. This

Strategy Asset Managers and their Pasadena-based representative, Tom Hulick, are at the center of a recent investor file a FINRA complaint that’s drawing attention to the inherent risks in closed-end fund investments—as well as the broader concerns surrounding the fiduciary vs suitability standard of complex financial products. This unfolding case highlights the essential importance of

Ameriprise Financial Services and its former financial advisor, Geno Antosh, have drawn industry attention after Antosh’s abrupt resignation from the firm. This development follows the emergence of multiple allegations relating to his investment recommendation practices. According to public disclosures, particularly those made available through FINRA BrokerCheck (CRD #: 5450983), Antosh’s voluntary departure on August 25,

EnJoy Financial and its founder, Shelby Rothman, have recently come under scrutiny following allegations of unsuitable investment recommendations. Based in Glendale, California, Shelby Rothman has established herself as a broker and investment advisor with Cambridge Investment Research since 2011, operating under the business name EnJoy Financial. With a career spanning 25 years in the securities

Raymond James & Associates recently saw the voluntary resignation of investment advisor Rogers Haydon (CRD #4452565) following an internal review into his handling of client accounts. As the world of finance grows increasingly complex, cases like this underscore the importance of investor vigilance and the standards advisors must uphold. In this article, we take a

Edward Jones and financial advisor Angelica Prescod (CRD# 5381488) have recently come under scrutiny due to a significant allegation concerning a client account. With Ms. Prescod serving clients in Scottsdale, Arizona and Victoria, Texas, the emerging issues shed light on the importance of vigilance in the financial services sector. Allegations Raised Against Angelica Prescod In