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Englewood, CO | January 13, 2026 Colorado financial advisor George Wallace Smith (CRD# 4844156),...

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)...

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)...

Alvaro Mauricio Jiron: LPL Financial Advisor Faces Pending Offshore Annuity Misrepresentation Claim

Coral Gables, FL | January 13, 2026 Coral Gables financial advisor Alvaro Mauricio Jiron...

Susan L. Butler: Edward Jones Advisor Faces $31,000 Misappropriation Allegation

Independence, MO | January 13, 2026 Missouri financial advisor Susan L. Butler (CRD# 6222652)...

Paul Oh: Former Citigroup Broker Terminated After Unauthorized Trading Allegations

Cypress, CA | January 13, 2026 Former Citigroup financial advisor Paul Oh (CRD# 5885535)...

Matthew Parker: California Broker Terminated After Variable Annuity Transaction Involving Senior Investor

Walnut Creek, CA | January 13, 2026 California financial advisor Matthew Parker (CRD# 6010373)...

Jessica Jung: California Broker Faces Regulatory Sanctions, Termination, and Multiple Customer Complaints

Palo Alto, CA | January 13, 2026 California financial advisor Jessica Y. Jung (CRD#...

Dieter 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...

Blake Scherr: Merrill Lynch Advisor Faces $1.5 Million Unauthorized Trading Claim

Vienna, VA | January 13, 2026 Virginia financial advisor Blake Scherr (CRD# 5043294) is...