Financial Advisor Complaints

As a former financial advisor and legal expert with over a decade of experience, I’ve seen my fair share of investor complaints and the consequences they can have for both advisors and their clients. The recent complaint against Karen Yasukawa, a financial advisor with Raymond James & Associates in Honolulu, Hawaii, is a prime example […]

It came as quite a shock when I learned that the Financial Industry Regulatory Authority (FINRA) has barred LOUIS P GOFF, who was a broker at WELLS FARGO CLEARING SERVICES, INC in Salt Lake City, Utah. The Grounds For His Expulsion Let me explain why Goff came under scrutiny. He was involved in a civil

As a seasoned financial analyst and someone who has penned numerous articles on financial regulations, I find myself intrigued by the recent departure of Kathleen Hansen from LPL Financial. As of January 12, 2024, per her detailed BrokerCheck record, she’s no longer part of their team. If you’re curious about what led to this decision,

Undeniably, finance and law are two of the most complex sectors that an average person has to navigate in life. And, this is where I come in as your financial analyst and legal expert. My name is Emily Carter and over the years I have worn many hats in both the financial and legal sectors.

The recent barring of Howard Kavinsky by the Financial Industry Regulatory Authority (FINRA) highlights a serious issue in the financial landscape. Kavinsky, a broker with rich professional stint, faced severe consequences with this ban impacting not only his career but also his customers. According to public records, the sanction arose from multiple accusations made against

As a financial analyst and writer, I’ve seen firsthand that in the investment realm, trust isn’t just a nice-to-have. It’s everything. However, when trust is broken, it doesn’t just echo across the industry—it hits home for the individuals whose futures rely on the sanctity of their investments. A Grave Charge Against Rand Heckler Let me

As a financial analyst and legal expert with over a decade of experience, I’ve seen my fair share of investment fraud cases. The recent allegations against Alan Bartlett Harrison, also known as Bart Harrison, a stockbroker with Concorde Investment Services, LLC, are serious and warrant attention from investors. According to the information provided, Harrison is

Who is Benjamin Belanger? Investors, take note: I’m talking about stockbroker Benjamin William Belanger, known to friends and colleagues as Ben Belanger, who’s raising eyebrows in the finance world. He’s found himself in hot water with FINRA arbitration, opening the door to lawsuits against him. Belanger has a history with Ameriprise Financial Services, First Allied