2023

Investment management is a crucial aspect of financial planning. However, when financial advisors fail to fulfill their duties, it can lead to serious repercussions. A recent case has come to light where a client has claimed a failure to diversify out of a concentration position and lack of downside protection by their financial advisor, Susan […]

The world of financial investments can often be a complex and challenging landscape to navigate. Even more so when trust is broken, and allegations of misconduct arise. Such is the case with a pending customer dispute involving Ashley Upson of PFS Investments Inc., a broker currently under investigation by Haselkorn & Thibaut, a national investment

Allegations of financial misconduct are a serious matter, carrying significant implications for both financial advisors and their clients. One such case currently under investigation involves John Pelletier, a financial advisor with BMO Harris Financial Advisors, Inc. and LPL Financial LLC. The allegation is a grave one: unauthorized trading in a customer’s Individual Retirement Account (IRA).

Allegations of financial malpractice are serious matters that demand immediate attention. One such case involves Ronald Smith, a former broker with YPTS Brokerage, LLC. According to a regulatory report dated 9/21/2023, Smith consented to the sanction and to the entry of findings without admitting or denying the allegations. The findings revealed that Smith refused to