Howard Roth: David Lerner Broker Faces Customer Complaint
White Plains, NY | January 17, 2026 New York broker Howard Gary Roth (CRD#...
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James Gahagan (LPL Financial): Customer Complaint & FINRA Disclosure
Santa Cruz, CA | January 14, 2026 James Gahagan Jr. (CRD# 2771502), a financial...
Keep ReadingHarry Warnick: Barred by FINRA
New York, NY | January 15, 2026 Former investment banking professional Harry Harper Warnick...
Keep ReadingHoss Esmaeili: Raleigh Advisor Faces Allegations of Unauthorized Trading and Fund Transfers
Raleigh, NC | January 21, 2026 Raleigh financial advisor Hossien Esmaeili (CRD# 5581440) has...
Keep ReadingJames Garrity: Morgan Stanley Advisor Faces Customer Complaint
Salt Lake City, UT | January 21, 2026 Morgan Stanley financial advisor James David...
Keep ReadingDuncan MacEachern: LPL Financial Advisor with 3 Complaints Totaling $115K in Settlements
Rochester, MI | January 14, 2026 Rochester financial advisor Duncan MacEachern (CRD# 1856591) has...
Keep ReadingDiana Leon: OSAIC Wealth Advisor with Termination History and Structured Note Complaint
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...
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