Financial Advisor Complaints

Cetera Investment Services and its registered representative, Josh Green, have come under heightened scrutiny following a recent customer file a FINRA complaint and a significant settlement. Based in New Port Richey, Florida, Josh Green (CRD# 4970616) currently serves as both a broker and an investment advisor, with over sixteen years in the securities industry and […]

Equitable Advisors has been thrust into the spotlight following the resignation of financial advisor Ejiro Okuma (CRD #5774832). The departure of Okuma on June 16, 2025, comes amid serious allegations regarding the misappropriation of client funds, rattling investors and raising essential questions about compliance and oversight in the financial sector. Recent Allegations and Community Impact

Janney Montgomery Scott, a prominent brokerage and investment advisory firm, is currently facing scrutiny following a recent customer file a FINRA complaint involving John Hardiman—a seasoned advisor based in Melville, New York. Hardiman, a member of Hardiman, Lepping & Associates at Janney Montgomery Scott, has built a noteworthy 26-year career in the securities industry. However,

**Money Concepts Capital Corporation** and their registered financial advisor, **Tally Lykins** (CRD #: 2439455), recently found themselves at the center of serious allegations that have drawn increased scrutiny to the financial advisory industry’s relationship with elderly clients. As a registered broker with **Money Concepts Capital Corporation** and also associated with **Money Concepts Advisory Service**, **Tally

Money Concepts Capital Corporation and its registered advisor Tally Lykins have recently come under scrutiny following serious allegations that highlight the critical importance of trust and transparency in the financial services industry. Based in Columbus, Indiana, Tally Lykins (CRD# 2439455) is facing a pending investor file a FINRA complaint that raises concerns about advisor conduct,

Morgan Stanley and its financial advisor, Youssef Zohny (CRD #6759406), are at the center of a significant Financial Industry Regulatory Authority (FINRA) arbitration. As of June 17, 2025, several high-net-worth clients have come forward, alleging damages of $4.5 million stemming from investment mismanagement and a pattern of questionable conduct. This case is notable not only

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