Cetera Advisor Brent Schmidt Suspended!

We want to share important news about Brent Schmidt, a financial advisor from Delano, Minnesota. Schmidt worked with Cetera Advisor Networks under Harvest Financial Services until recent events changed his career path. FINRA, the financial industry watchdog, suspended Schmidt for allowing his business partner to fake customer signatures on 53 account documents. This serious violation

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Alexander Capital Advisor Roger Roemmich Under Investigation Over Customer Dispute

In a recent development, Roger Roemmich, a broker and investment advisor associated with Alexander Capital, L.P. (CRD 40077) in Georgia, has been named in a pending customer dispute filed on February 15, 2024. The allegations revolve around the suitability of direct investment products, specifically DPP & LP Interests, recommended by Roemmich to his clients. The

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Thomas Jarrett Fired After Taking Orders From Dementia-Impaired Client

We’ve seen a troubling case in the financial advisory world. Thomas Jarrett, a former Wells Fargo financial advisor, was fired for accepting instructions from a client with dementia. This serious breach led to fines and suspension from his position in the industry. Financial advisors must protect their clients, especially those with mental impairments. The case

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