2023 – Page 91 Of 115 – Investment Fraud Lawyers

UBS Advisor Lands $1mm Investor Complaint

Matt Engelau (LPL Financial Advisors) Denies Complaint From Investor On ETF

Mixed allegations spring forth in Hackettstown, New Jersey, against financial advisor Matt Engelau (CRD# 5233851), with an investor complaint citing his conduct led to monetary losses. These disputes are indeed cause for concern, but why does it matter to you as the investor? Mr. Engelau, operating under the reputed LPL Financial, faces a single investor […]

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Luke Johnson (Coastal Equities) Accused in $314,400 FINRA Complaint

A significant development has surfaced in the financial investment sector. This month, the Financial Industry Regulatory Authority (FINRA) initiated an enforcement action against Luke Johnson, a former Coastal Equities representative and Scottsdale financial advisor. The Crux of the Allegations The crux of the allegations centers around the unsuitable investments, including GPB Capital and other illiquid

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Advisor from Morgan Stanley Gets $585K Complaint

Austin’s Chris Moyseos, a financial advisor with Morgan Stanley, is currently under scrutiny as a client investment complaint alleging over half a million dollars in damages has been lodged against him. As per the data available with the Financial Industry Regulatory Authority (CRD# 5584290), the investor complaint was filed in June 2023, putting Moyseos’s credibility

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Steve Gessner, WPG Advisor, Receives Oil & Gas Complaint After Risky Investment

Further scrutiny has been drawn to the financial advisory industry as Steve Gessner, a Baltimore-based financial advisor, has allegedly recommended unsuitable investments, as noted in a recent investor complaint. Gessner, identified with CRD# 2650114, has a recorded experience of 27 years in the securities industry. Currently an investment advisor with WPG Financial Group, he was

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Luke Johnson (Legend Capital Group) BARRED – Investor Loss Recovery Options

Luke Johnson, a previous associate at Legend Capital Group and Coastal Equities, has received a permanent ban by the Financial Industry Regulatory Authority (FINRA) from operating as a broker or having any affiliation with a broker-dealer firm. This consequence comes in the wake of Johnson’s inappropriate suggestions to a group of nine customers to invest

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