Candace Huston, a broker and investment advisor associated with Fidelity Brokerage Services LLC, faces a serious customer dispute allegation that could significantly impact investors. According to the disclosure filed on March 14, 2024, a customer alleges receiving incorrect information prior to agreeing to a managed account solution, which is currently pending resolution. This allegation raises […]
Stephen Rabinowitz, a broker with Fidelity Brokerage Services LLC, is facing a serious allegation from a customer who claims to have received incorrect information before agreeing to a managed account solution. This pending customer dispute, filed on March 14, 2024, has the potential to significantly impact investors who have entrusted their financial well-being to Rabinowitz
Bradley Frisk, a financial advisor at Raymond James Financial Services, Inc., is currently facing serious allegations of misconduct and improper investment practices. The allegations, which span from February 2022 to June 2023, involve claims that Frisk recommended clients take out loans against their investment accounts to pay off mortgages and made poor investment choices without
In a significant ruling, a Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered AGES Financial Services, LTD. to pay nearly $1.08 million in damages, interest, and attorney’s fees to a group of investors who purchased bonds from the now-bankrupt GWG Holdings Inc. The case, filed in July 2022, involved multiple claimants who alleged various
GWG Investors Win Claims Against AGES Financial Services For Emotional Distress Read More »
In a recent development, a serious allegation has been made against Thomas Billington, a financial advisor associated with Wells Fargo Clearing Services, LLC. The customer dispute, filed on March 14, 2024, accuses Billington of failing to disclose the availability of no-fee accounts, resulting in the customer paying fees without receiving any benefit. This allegation raises