2023

Investors need to be vigilant when it comes to their financial advisors. A recent allegation has put the spotlight on a financial advisor at Morgan Stanley and the company itself. The claimant alleges a breach of fiduciary duty with respect to the lack of detection of alleged outside fraud perpetuated against the client. This case […]

Investors are being urged to take note of a serious allegation involving a former financial advisor, Stefanie Hurkala, previously affiliated with Wells Fargo Clearing Services, LLC (CRD No. 19616). The allegation is significant, and its implications for investors could be far-reaching. Understanding the Allegation and the FINRA Rule The allegation against Stefanie Hurkala comes from

Investments are a crucial aspect of financial planning, but they can be a minefield when not handled properly. Recent allegations against Lowrie Sargent, an investment advisor, have brought this issue to the forefront. The gravity of these allegations cannot be overstated, as they involve the provision of investment advice in Florida without the requisite registration

Investors are often faced with complex situations that can significantly impact their financial stability. One such situation is the allegation against financial advisor Stephen Medina and his associated company, Merrill Lynch, Pierce, Fenner & Smith Incorporated. The allegation, currently pending, was filed on 9/27/2023 by a client who claimed misrepresentations and unsuitable investments between February

Investors are often left in the dark when it comes to allegations of misconduct against their financial advisors. One such case is that of Thomas McDevitt, previously affiliated with AMERIPRISE FINANCIAL SERVICES, INC. (CRD 6363), who has recently been accused of failing to comply with an arbitration award or settlement agreement. This allegation is serious