A recent investor complaint against Los Angeles, California financial advisor Rick Rappaport (CRD# 1885122) alleges that his conduct resulted in...
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Kirsten Gillen: $1.7mm Complaint Against Northwestern Advisor
Minneapolis, Minnesota financial advisor Kirsten Gillen (CRD# 5981051) allegedly failed to act in her customers’ best interest, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is registered as a broker with Northwestern Mutual Investment Services.
Eric Kleiner: Barred Morgan Stanley Advisor Lands 6-Figure Complaints
The former New York City-based financial advisor Eric Kleiner (CRD# 4135180) has received multiple investor complaints alleging that he recommended unapproved outside investments. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Morgan Stanley. In 2025 FINRA barred him from acting as a broker in connection with… Read More »
Tony Hazen: Fraud Complaint Against Vistia, Ex-Patrick Capital Advisor
A recent investor complaint against Lone Tree, Colorado financial advisor Tony Hazen (CRD# 2384836) alleges that he committed fraud and made unsuitable recommendations. Financial Industry Regulatory Authority records show that he is registered as a broker with Vistia Capital, having previously been registered with Patrick Capital Markets.
David Engel: Wells Fargo Advisor Faces $1mm Complaint
A recent investor complaint against Philadelphia, Pennsylvania financial advisor David Engel (CRD# 4909432) alleges that he made unauthorized transfers. Financial Industry Regulatory Authority records show that he is registered as a broker with Wells Fargo Clearing Services and an investment advisor with Wells Fargo Advisors.
Nathan Warwick: Merrill Lynch Advisor Receives Suitability Complaint
Phoenix, Arizona financial advisor Nathan Warwick (CRD# 6942391) recently received an investor complaint alleging that he violated industry rules, leading to damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch.
Aaron Dykas: Oppenheimer Advisor Fired by RBC
Seattle, Washington financial advisor Aaron Dykas (CRD# 2281381) was recently fired by his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former RBC Capital Markets representative is currently registered as a broker with Oppenheimer.
Moshe Alpert: Vanderbilt Advisor Resigned from Northwestern Mutual
Far Rockaway, New York financial advisor Moshe Alpert (CRD# 6433535) recently resigned from his former member firm amid allegations that he violated internal policies. Financial Industry Regulatory Authority records show that the former Northwestern Mutual representative is currently registered as a broker and an investment advisor with Vanderbilt Securities and Vanderbilt Advisory Services, respectively.
Tadd Killpack: Why Did International Assets Advisor Resign?
Salt Lake City, Utah financial advisor Tadd Killpack (CRD# 4700629) allegedly recommended unsuitable alternative investments and resigned from his former member firm. Financial Industry Regulatory Authority records show that the former International Assets Advisory representative is currently registered as a broker and an investment advisor with Alexander Capital.
Mars FX Investment Losses: Investors May Have Options
Investors who lost money investing in Mars FX, a Los Angeles-based hedge fund sponsored by Novus Capital Partners, may have recovery options. Nearly $600 million was missing when the fund went bankrupt, according to an April 2026 Bloomberg report, with more than 500 investors are listed as creditors in the bankruptcy filing.
Larry Nelson: $1.88mm Complaint Against Ameriprise Advisor
Salinas, California financial advisor Larry Nelson (CRD# 2275834) allegedly made unauthorized trades and engaged in predatory sales practice, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Ameriprise Financial Services.
