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News
Ross Brannon: Ex-Park Ave Advisor Faces $100K-$500K Complaint
5+ hour, 13+ min ago (463+ words) carlsonlaw.com Ross Brannon: Ex-Park Ave Advisor Faces $100K-$500K Complaint A recent investor complaint against Plano, Texas financial advisor Ross Brannon (CRD# 5875036) alleges that his recommendations resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as…...
Joanna Rogers: Morgan Stanley Advisor Faces $124K Complaint
3+ day, 12+ hour ago (414+ words) carlsonlaw.com Joanna Rogers: Morgan Stanley Advisor Faces $124K Complaint A recent investor complaint against Waco, Texas financial advisor Joanna Rogers (CRD# 4929259) alleges that she made misrepresentations of material facts. Financial Industry Regulatory Authority records show that she is registered as…...
Peter Chernin: Ex-Great Point Advisor Faces $1mm Investor Complaint
4+ day, 9+ hour ago (335+ words) carlsonlaw.com Peter Chernin: Ex-Great Point Advisor Faces $1mm Investor Complaint Chicago, Illinois financial advisor Peter Chernin (CRD# 6787497) allegedly recommended unsuitable investments, according to recent investor complaints. Financial Industry Regulatory Authority records show that he is registered as a broker with…...
Derek Copeland: SEC Fines Barred Ex-LPL Advisor
4+ day, 10+ hour ago (314+ words) carlsonlaw.com Derek Copeland: SEC Fines Barred Ex-LPL Advisor Former Charlotte, North Carolina financial advisor Derek Copeland (CRD# 4347572) was recently sanctioned and barred in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show…...
Trevor Uhls: Federal Complaint Alleges $2.1 Million Investment Fraud “Ponzi” Scheme
6+ day, 2+ hour ago (246+ words) This is not the first time Uhls has drawn scrutiny from regulators. As we previously reported, FINRA barred Uhls — a former MML Investors Services (MassMutual) representative — earlier in 2026 after he refused to cooperate with an investigation into potential unauthorized promissory…...
Darren Bado: Ameriprise Advisor Under Investigation
1+ week, 4+ day ago (446+ words) carlsonlaw.com Darren Bado: Ameriprise Advisor Under Investigation Santa Clara, California financial advisor Darren Bado (CRD# 6678445) is under investigation for alleged misconduct. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with…...
Shaun Freeman: Morgan Stanley Advisor Receives Complaint
1+ week, 5+ day ago (425+ words) carlsonlaw.com Shaun Freeman: Morgan Stanley Advisor Receives Complaint Morristown, New Jersey financial advisor Shaun Freeman (CRD# 2779691) recently received an investor complaint alleging that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as…...
Wesley Palmer: $225K Complaint Against Madison Avenue Advisor
1+ week, 5+ day ago (432+ words) carlsonlaw.com Wesley Palmer: $225K Complaint Against Madison Avenue Advisor A recent investor complaint against Greenville, South Carolina financial advisor Wesley Palmer (CRD# 6433982) alleges that his advice resulted in damages exceeding $200,000. Financial Industry Regulatory Authority records show that he is registered…...
Ryan Adamchak: Suitability Complaint Against Merrill Lynch Advisor
2+ week, 5+ day ago (382+ words) carlsonlaw.com Ryan Adamchak: Suitability Complaint Against Merrill Lynch Advisor Lakewood Ranch, Florida financial advisor Ryan Adamchak (CRD# 5775908) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a…...
Mike Frost: $899K Complaint Against Ex-LPL Advisor
2+ week, 5+ day ago (471+ words) carlsonlaw.com Mike Frost: $899K Complaint Against Ex-LPL Advisor Colorado Springs, Colorado financial advisor Mike Frost (CRD# 2000358) allegedly misrepresented investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Cetera…...