2024

In a recent development, a serious allegation has been made against Karen Cagle, a broker associated with Allstate Financial Services, LLC (CRD 18272). The customer dispute, filed on February 26, 2024, alleges that Karen Cagle, who was also the customer’s wife at the time of the transaction, forged his endorsement on a loan/withdrawal check he […]

In a recent development, a serious allegation has been made against Adam Mahd, a registered representative associated with MML INVESTORS SERVICES, LLC (CRD 10409) in Michigan. The complainant alleges that since approximately 2021, Mahd invested in volatile foreign companies, risky bank stocks, and high-risk stocks that were unsuitable and not in the best interest of

In a recent development, a serious allegation has been made against Roberta Bell, a broker and investment advisor associated with Morgan Stanley (CRD 149777) in Illinois. The customer dispute, filed on February 26, 2024, alleges unsuitability with respect to mutual fund investments made between February 2022 and February 2024. The disclosure type is listed as

Maneesh Gupta, a broker and investment advisor associated with PFS Investments Inc., is currently facing serious allegations of misrepresenting the features of fixed annuity contracts to a customer. This case, settled on February 26, 2024, has significant implications for investors who have entrusted their financial well-being to Gupta and PFS Investments Inc. According to the

Daniel Lundquist, a broker and investment advisor associated with Ausdal Financial Partners, Inc., is facing a serious customer dispute allegation regarding unsuitable investments in GWG L Bonds. The pending case, filed on February 26, 2024, has raised concerns among investors about the potential impact on their portfolios. With the disclosure detail indicating a damage amount