Financial Advisor Complaints

Purshe Kaplan Sterling and Sacramento-based financial advisor Joe Eschleman have recently found themselves at the center of a significant investor file a FINRA complaint, casting a spotlight on the complex nature of Delaware Statutory Trust (DST) investments and the critical importance of strict suitability standards within the financial services industry. As regulatory attention on alternative […]

Fidelity Brokerage Services recently found itself under the regulatory microscope following issues involving one of its former financial advisors, Erick Mueller (CRD #6505287). In a story that underscores the critical role of oversight in the financial services industry, Mueller’s departure and subsequent regulatory actions highlight important lessons for investors, advisors, and firms alike. The Departure

Equitable Advisors recently found itself in the spotlight after the termination of veteran financial advisor Matthew Winthrop (CRD# 2445102), a financial professional based in Easton, Connecticut. The termination occurred in September 2025 and was the result of serious internal concerns regarding his trading practices. According to allegations, Winthrop engaged in excessive trading activity—commonly known as

Edward Jones recently terminated financial advisor Brandon Bauerle (CRD #6792697) on June 17, 2025, triggering important discussions across the investment industry about professional standards and regulatory oversight. As the world of finance grows ever more complex, maintaining strict compliance is essential for firms and investors alike. The situation involving Brandon Bauerle not only brings his

Fellows Financial Group, LLC, led by financial advisor Blake Fellows, is currently facing increased scrutiny amid a recently opened FINRA investigation. Allegations of unsuitable investment recommendations and poor risk management practices have captured the attention of both investors and the financial advisory sector. This case not only raises questions about Blake Fellows’s conduct, but also

Piper Sandler & Company is currently facing heightened scrutiny after one of its financial advisors, Alex Johnson (CRD #6994027), became the subject of a significant investor dispute. Filed on June 18, 2025, the file a FINRA complaint alleges unsuitability in investment recommendations resulting in $9.1 million in claimed damages. This dispute not only stands out

LPL Financial and Winter Haven, Florida-based financial advisor Jordana Wojnowski are at the center of recent allegations that have shed light on unauthorized trading practices within the advisory industry. Jordana Wojnowski (CRD# 5696895), a registered broker and investment advisor affiliated with LPL Financial and operating under the business name Allen & Company, has been accused

Emerson Equity and its broker, Thomas Justice (CRD# 2786145), have recently come under scrutiny as a new investor file a FINRA complaint has brought increased attention to the critical importance of due diligence in real estate investment advisory services. The reputation and regulatory record of financial advisors like Thomas Justice are fundamental factors for investors

McPherson Financial Group and its prominent financial advisor, Art McPherson (CRD# 2245364), are currently at the center of scrutiny following serious allegations from a client regarding investment advice and portfolio management during the highly volatile market conditions of 2020. Based in Melbourne, Florida, Art McPherson has built a reputation for experience, spanning over three decades

Alexander Capital and seasoned investment banker Jonathan Gazdak have recently come under scrutiny amid two pending investor disputes that highlight key risks in the financial advising industry. Based in Red Bank, New Jersey, Mr. Gazdak serves as Managing Director and Head of Investment Banking at Alexander Capital, a role that commands significant authority and trust.