James Garrity: Morgan Stanley Advisor Faces Customer Complaint
Salt Lake City, UT | January 21, 2026 Morgan Stanley financial advisor James David...
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Duncan MacEachern: LPL Financial Advisor with 3 Complaints Totaling $115K in Settlements
Rochester, MI | January 14, 2026 Rochester financial advisor Duncan MacEachern (CRD# 1856591) has...
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Gaithersburg, MD | January 14, 2026 Gaithersburg financial advisor Diana Leon (CRD# 4857407) has...
Keep ReadingDennis Herrera: FINRA Suspension for Excessive Trading That Generated $158K in Commissions, $359K in Losses
Miami, FL | January 14, 2026 — Former broker Dennis Herrera (CRD# 4618370) was...
Keep ReadingDavid Kluksdal: Idaho Broker Faces $500K Arbitration Alleging Breach of Fiduciary Duty and Failure to Supervise
Payette, ID | January 16, 2026 Idaho financial advisor David Kluksdal (CRD# 4850332) is...
Keep ReadingChristian Ramsey (GWN Securities): Customer Complaint & FINRA Disclosure
Colorado Springs, CO | January 14, 2026 — Christian Ramsey (CRD# 3038410), a former...
Keep ReadingBrenton E Ditto (LPL Financial): FINRA Suspension & Customer Complaint
Elizabethtown, KY | January 14, 2026 — Brenton E. Ditto (CRD# 4779103), a former...
Keep ReadingBrandon Larsen: FINRA Suspends Wisconsin Broker for Unauthorized Discretionary Trading in 14 Accounts
Green Bay, WI | January 16, 2026 Wisconsin financial advisor Brandon Larsen (CRD# 6192239)...
Keep ReadingBlake Fellows (Arkadios Capital): Customer Complaint & FINRA Disclosure
Leesburg, VA | January 14, 2026 — Blake Edward Fellows (CRD# 4374810), a financial...
Keep ReadingArthur McPherson (World Equity Group): Customer Complaint & FINRA Disclosure
Melbourne, FL | January 14, 2026 — Arthur Roy McPherson (CRD# 2245364), a financial...
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