Salvatore LaRocca: Voya Advisor Fined $12.5K by Regulators
Melville, New York — February 13, 2026 — Melville, New York financial advisor Salvatore Anthony...
Keep ReadingRogers Haydon: Raymond James Advisor Resigns Amid Allegations
Atlanta, Georgia — February 13, 2026 — Former Atlanta, Georgia financial advisor Rogers Haydon...
Keep ReadingRodger (Rod) Thomas: Newbridge Advisor Faces $500K Arbitration Claim
Roselle Park, New Jersey — February 13, 2026 — Roselle Park, New Jersey financial...
Keep ReadingRanjeet Guptara: Former UBS Advisor Faces Swap Complaint
Nashville, Tennessee — February 13, 2026 — Nashville, Tennessee financial advisor Ranjeet Guptara (CRD#...
Keep ReadingRandall E. Duggan: Moloney Broker Faces $1.4M in Complaints
Bellingham, Washington — February 19, 2026 — Bellingham, Washington financial advisor Randall E. Duggan...
Keep ReadingPatrick Lam: Emerson Equity Advisor, $5M Complaint
Scottsdale, Arizona — February 19, 2026 — Scottsdale financial advisor Patrick Wang Lam (CRD#...
Keep ReadingBroker Patricia Holder Is Facing Investor Allegations
Miami, FL | January 24, 2026 Miami-based financial advisor Patricia P. Holder (CRD# 2894768)...
Keep ReadingAllegations Against Broker Michael Taylor
Cincinnati, OH | January 23, 2026 LPL Financial advisor Michael Sean Taylor (CRD# 4319482)...
Keep ReadingBroker Michael Harris Is Facing Investor Allegations
Indian Wells, CA | January 23, 2026 Merrill Lynch financial advisor Michael David Harris...
Keep ReadingMatthew Winthrop: Equitable Advisors Broker Discharged
Easton, CT | January 23, 2026 Matthew Winthrop (CRD# 2445102), a financial advisor with...
Keep Reading