A recent investor complaint against Dallas, Texas financial advisor Darrell Delphen (CRD# 1603277) alleges that he recommended unsuitable investments. Financial...
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Walter Putnam: Northwestern Advisor Faced $65K Complaint
A recent, denied investor complaint against Tampa, Florida financial advisor Walter Putnam (CRD# 1274433) alleged that he recommended an unapproved investment. Financial Industry Regulatory Authority records show that he is registered as a broker with Northwestern Mutual Investment Services.
IRS Creates Conservation Easement Office
The Internal Revenue Service announced the formation of an Office of Conservation Easements to centralize its approach to handling conservation easement cases. According to a news release published on August 19, 2026, the agency’s move reflects a shift from “the current uniform settlement initiative effective today.” As such, it will stop issuing uniform settlement… Read More »
Jorge Montealegre: Fraud Complaint Against Oppenheimer Advisor
Coral Gables, Florida financial advisor Jorge Montealegre (CRD# 1799139) allegedly recommended an unsuitable investment strategy, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Oppenheimer.
Galen Foster: Did Stifel Advisor Make Unauthorized Trades?
Nashville, Tennessee financial advisor Galen Foster (CRD# 1394526) has received multiple investor complaints alleging that his conduct resulted in damages in the customer’s account. Financial Industry Regulatory Authority records show that he is registered as a broker with Stifel Nicolaus.
Carl Latz: Oil & Gas Complaint Against Texas Securities Advisor
Dallas, Texas financial advisor Carl Latz (CRD# 1473936) allegedly recommended an unsuitable investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Texas Securities.
Daniel Tacktill: Oppenheimer Advisor Receives $1.5mm Complaint
Melville, New York financial advisor Daniel Tacktill (CRD# 4624409) recently received an investor complaint alleging that his conduct resulted in damages exceeding $1 million. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Oppenheimer & Company.
Alexander Lanzman: Oppenheimer Advisor Faces $5mm Complaint
A recent investor complaint against New York, New York financial advisor Alexander Lanzman (CRD# 2878438) alleges that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Oppenheimer.
Victor Rodriguez: Cetera Advisor Received Bond Complaints
A recent investor complaint against El Segundo, California financial advisor Victor Rodriguez (CRD# 2900010) alleged that his investment advice resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Cetera Wealth Services and an investment advisor with Cetera Investment Advisers.
John Trouy: MML Advisor Receives Annuity Complaint
A recent investor complaint against Bellevue, Washington financial advisor John Trouy (CRD# 5966902) alleges that he gave inaccurate advice, resulting in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with MML Investors Services.
Darren Speight: $300K Complaint Against DFPG Advisor
San Jose, California financial advisor Darren Speight (CRD# 5347461) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with DFPG Investments.
