Francisco (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)...
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David 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)...
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Coral Gables, FL | January 13, 2026 Coral Gables financial advisor Alvaro Mauricio Jiron...
Keep ReadingSusan L. Butler: Edward Jones Advisor Faces $31,000 Misappropriation Allegation
Independence, MO | January 13, 2026 Missouri financial advisor Susan L. Butler (CRD# 6222652)...
Keep ReadingPaul Oh: Former Citigroup Broker Terminated After Unauthorized Trading Allegations
Cypress, CA | January 13, 2026 Former Citigroup financial advisor Paul Oh (CRD# 5885535)...
Keep ReadingMatthew Parker: California Broker Terminated After Variable Annuity Transaction Involving Senior Investor
Walnut Creek, CA | January 13, 2026 California financial advisor Matthew Parker (CRD# 6010373)...
Keep ReadingJessica Jung: California Broker Faces Regulatory Sanctions, Termination, and Multiple Customer Complaints
Palo Alto, CA | January 13, 2026 California financial advisor Jessica Y. Jung (CRD#...
Keep ReadingDieter Howard Huber Jr: Aegis Capital Broker with Six Customer Disputes on Record
Red Bank, NJ | January 13, 2026 Red Bank financial advisor Dieter Howard Huber...
Keep ReadingBlake Scherr: Merrill Lynch Advisor Faces $1.5 Million Unauthorized Trading Claim
Vienna, VA | January 13, 2026 Virginia financial advisor Blake Scherr (CRD# 5043294) is...
Keep ReadingAlan Lowenfels: Former David Lerner Broker Faces Third Customer Complaint Over Energy Fund Sales
White Plains, NY | January 13, 2026 Former New York broker Alan Charles Lowenfels...
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