2024

Investment advisory malpractice is a serious issue that can lead to significant financial losses for investors. One such case is currently being investigated involving Tyler Cardon of Fidelity Brokerage Services LLC. The allegation centers around a customer dispute that was filed on September 14, 2023, under case number 23-02488. The customer alleges that Cardon failed […]

The Securities and Exchange Commission (SEC) has recently brought serious allegations against GlennCap LLC and its sole owner and principal, Jonathan Vincent Glenn. The charges stem from undisclosed “cherry-picking” practices that occurred from January 2020 to March 2022, during which Glenn allegedly allocated profitable trades to favored accounts at the expense of other advisory clients.

Allegations of financial malfeasance are a grave matter, especially when they involve the potential mismanagement of investor funds. This is exemplified in the recent case involving Lorraine Gallette, a financial advisor formerly associated with Coastal Equities, Inc. and MOLONEY SECURITIES CO., INC. (CRD 38535), who is currently under investigation by Haselkorn & Thibaut, a national

The world of finance is not without its share of controversies and disputes. One such serious allegation has recently surfaced, involving financial advisor Stewart Ginn and his association with Independent Financial Group, LLC. The case, filed on 15th September 2023, is currently pending and involves a customer dispute alleging that the investments made were not