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Michael Carter, formerly associated with Morgan Stanley (MS), and has admitted to investment fraud, now stares down the prospect of incarceration. The allegations against Carter pinpoint a 12-year-long fraudulent scheme that financially strained five clients, with one senior client losing a staggering $6 million. Upon discovery of the scam, Carter commenced the repayment to the
Morgan Stanley Broker, Michael Carter, Faces Legal Repercussions Read More »
Haselkorn & Thiabut is investigating the recent investor complaint against Aaron Werner (CRD# 4843116), a recognized financial advisor based in Pasadena. Sources suggest that his actions might have led a client into a loss exceeding $400,000, altering their previously steady financial landscape into treacherous territory. Concerns Rise Over Professional Advice The Financial Industry Regulatory Authority
Raymond James Advisor Aaron Werner Faces $450K Complaint Read More »
South Carolina – A series of investor complaints has thrust Lisa Mantei, a financial advisor with Centaurus Financial operating under the name Cola Wealth Advisors, into the spotlight. With a trail of grievances, settlements, and vehement denials, the case has left the financial community pondering the truth. Investor Discontent Mantei’s record of allegedly unwise investment
Cola Wealth Advisor Lisa Mantei Gets $200K Investor Complaint Read More »
Ever heard the story of an individual signing documents on behalf of another without permission? Can you imagine the fallout of such an incident in the financial services sector? It sounds like a tale from a thrilling crime novel, right? Well, believe it or not, such a story unfolded recently in Hattiesburg, Mississippi. Our protagonist,
Why Did FINRA Suspend Thrivent Advisor Trey Garraway? Read More »