A recent investor complaint against Englewood, Colorado financial advisor Alex Staverosky (CRD# 7171282) alleges that he violated industry rules. Financial...
Read MoreAuthor Archives: chase@carlson-law.com
Paul Drueke: $136K Suitability Complaint Against Stifel Advisor
Grand Rapids, Michigan financial advisor Paul Drueke (CRD# 814408) allegedly made an unsuitable investment recommendation, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Stifel Nicolaus & Company.
Vince Annable: Realta Advisor Allegedly “Lied” to Clients
A recent investor complaint against Scottsdale, Arizona financial advisor Vince Annable (CRD# 1033573) alleges that he lied to his customers. Financial Industry Regulatory Authority records show that he is registered as a broker with Realta Equities and an investment advisor with Transce3nd.
Aaron Sevigny: $500K-$1mm Complaint Against Acadia Advisor
A recent investor complaint against Bonita Springs, Florida financial advisor Aaron Sevigny (CRD# 4314368) recently received an investor complaint alleging that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment adviser with United Planners’ Financial Services of America, doing business as… Read More »
Carlson Law Files FINRA Arbitrations Against UBS and Morgan Stanley Concerning Atlanta Financial Advisor Araya Mesfin
Carlson Law, P.A., a Miami Beach-based securities litigation law firm, has filed two FINRA arbitration claims against Morgan Stanley and UBS Financial Services relating to the conduct of Atlanta-based financial advisor Araya Mesfin. The first claim, filed against Morgan Stanley, alleges mismanagement of an investment strategy and securities-based line of credit, as well as… Read More »
Brightline Bonds: “Junk” Investment Misses Interest Payments
Recent news reports describe the dire state of investments in municipal bonds issued by the Florida private railroad company Brightline Trains. A January 16, 2026 article by Bloomberg, for instance, states that Brightline “skipped its second interest payment on $1.2 billion of subordinate municipal bonds” having skipped the first interest payment back in July… Read More »
Kevin Dooley: Suitability Complaint Against Private Client Advisor
Miami, Florida financial advisor Kevin Dooley (CRD# 2513153) has received multiple investor complaints alleging that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Equitable Advisors, doing business as Private Client Group.
Kade Osburn: $174K Complaint Against SEIA Advisor
Los Angeles, California financial advisor Kade Osburn (CRD# 7475893) allegedly provided unsuitable advice, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Signature Estate Securities and an investment advisor with Signature Estate & Investment Advisors.
Dan McClory: Boustead, Sutter Advisor Faces $950K Complaint
A recent investor complaint against Irvine, California financial advisor Dan McClory (CRD# 1390780) alleges that his advice resulted in six-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Sutter Securities and Sutter Capital Advisory, respectively, and that he is also registered as a… Read More »
Tom Chapman: Aragon Advisor Faces Suitability Complaint
Homewood, Alabama financial advisor Tom Chapman (CRD# 4837315) recently received an investor complaint alleging that his advice resulted in damages. Financial Industry Regulatory Authority records show that the former Equitable Advisors broker is currently registered as an investment advisor with Aragon Family Office.
Bryson Blackwell: Reg D Complaint Against Realta Advisor
A recent investor complaint against Scottsdale, Arizona financial advisor Bryson Blackwell (CRD# 7423209) alleges that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker with Realta Equities and an investment advisor with Transe3nd, doing business as Waypoint 1031 DST Group and Wealth Strategies Advisory Group.
