Financial Advisor Complaints

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

D.A. Davidson & Co. recently terminated financial advisor Schuyler Grey (CRD#: 1131933) following serious allegations of unauthorized trading and violations of firm policy. This development is particularly notable not just for investors working with Schuyler Grey but for anyone considering the selection of a financial advisor. The incident brings renewed attention to the necessity of

Merrill Lynch and financial advisor Tanya Tang (CRD# 7176633) have recently come under increased investor scrutiny with a pending customer file a FINRA complaint that alleges a failure to follow client instructions. As investment fraud and mismanagement continue to pose notable risks to retail investors, this case highlights the importance of understanding both advisor obligations

Valmark Securities and its former advisor, William Olinger III (CRD #: 2289684), have recently been drawn into the spotlight following a significant investor file a FINRA complaint. This situation highlights the ongoing importance of due diligence for anyone working with a financial advisor, no matter how reputable they may initially appear. Recent Investment Dispute Raises

David Lerner Associates is once again under the spotlight following a recent investor file a FINRA complaint involving longtime broker Howard Roth. Based in White Plains, New York, Howard Roth (CRD# 867754) has served with David Lerner Associates since 1979, bringing a notable 46-year tenure in the financial services industry. With credentials that include the