Suspended Financial Advisor Kirk James Crossen Faces FINRA Disciplinary Proceeding For Allegedly Borrowing $400,000 From Client Suffering From Dementia

On November 11, 2025, FINRA Enforcement lawyers filed a complaint against suspended financial advisor Kirk James Crossen (CRD No. 2742256), alleging that he concealed borrowing $400,000 from a senior investor suffering from dementia, in violation of his employer and FINRA’s rules. According to the filings, during the period...

Broker Mack Leon Miller Suspended For Churning Senior Investor’s Account In Violation Of Reg BI

On August 11, 2025, FINRA accepted a Letter of Acceptance, Waiver, and Consent (“AWC”) from Mack Leon Miller CRD No. 2822317 related to his alleged recommendations of trades to two senior investors that were not in their best interests. According to the filings, during a routine regulatory examination...

How FINRA’s Rules And The SEC’s Regulation Best Interest Can Rectify Investment Losses In Your Retirement Accounts

Are you a senior investor or retiree with inexplicable losses in your retirement account? If so, you may have more legal protections than you realize, including protections under the Financial Industry Regulatory Authority’s (“FINRA”) rules and the Securities and Exchange Commission’s (“SEC”) Regulation Best Interest (“Reg BI”).

Former Raymond James Broker Jonathan E. Best Suspended, Fined, And Ordered To Pay A Disgorgement Penalty For Making Unauthorized Trades In A Senior Investor’s Account Suffering From Alzheimer’s Disease

On March 5, 2025, FINRA Accepted a Letter of Acceptance, Waiver, and Consent (“AWC”) from Jonathan E. Best (CRD No. 2225091) related to alleged unauthorized trades he made in a senior investor’s account, suffering from Alzheimer’s disease, and false compliance attestations regarding the same. According to the filings,...

UBS and Financial Advisor Andrew Burish On The Hook For $92.2 Million After Recommending Short Positions In Tesla

On February 28, 2025, a public FINRA Arbitration Panel awarded a class of investors $92.2 million in damages after they sued UBS and financial advisor Andrew Burish for investment fraud and violations of FINRA Rules related to investments in Tesla. According to the filings, Burish recommended an unsuitable,...