Robert Scott Smith: Oregon Broker with 16 Customer Disputes and $3M+ in Pending Claims
Newberg, OR | January 13, 2026 Newberg-based financial advisor Robert Scott Smith (CRD# 1412333)...
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Rikki Foster Jr. Faces $700,000 Arbitration Over Alleged Direct Investment Misconduct
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Largo, FL | January 13, 2026 Florida financial advisor Nathan (Nate) Daniel Goad (CRD#...
Keep ReadingJonathan Malinger: Wedbush Securities Broker Faces Elder Financial Abuse Allegations
Pasadena, CA | January 13, 2026 California broker Jonathan Hilton Malinger (CRD# 5201626) is...
Keep ReadingJohn Kacheong Lee: California Broker with 10 Customer Disputes and $1.5M+ in Settlements
Pleasanton, CA | January 13, 2026 Pleasanton financial advisor John Kacheong Lee (CRD# 2948622)...
Keep ReadingGeorge Wallace Smith (Wally Smith): Colorado Broker Faces Three Pending Arbitrations Totaling Up to $3 Million in Real Estate Securities Claims
Englewood, CO | January 13, 2026 Colorado financial advisor George Wallace Smith (CRD# 4844156),...
Keep ReadingFrancisco (Frank) Gomez: Texas Broker Resigns from LPL Financial After Undisclosed Loans and Annuity Sales Allegations
Fate, TX | January 13, 2026 Texas financial advisor Francisco M. Gomez (CRD# 6289883)...
Keep ReadingDavid Waal: California Broker Faces Over $2 Million in Pending Real Estate Investment Claims
Irvine, CA | January 13, 2026 California financial advisor David Christian Waal (CRD# 1226437)...
Keep ReadingAlvaro Mauricio Jiron: LPL Financial Advisor Faces Pending Offshore Annuity Misrepresentation Claim
Coral Gables, FL | January 13, 2026 Coral Gables financial advisor Alvaro Mauricio Jiron...
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