March 2025

In a recent development, Roger Roemmich, a broker and investment advisor associated with Alexander Capital, L.P. (CRD 40077) in Georgia, has been named in a pending customer dispute filed on February 15, 2024. The allegations revolve around the suitability of direct investment products, specifically DPP & LP Interests, recommended by Roemmich to his clients. The […]

In a recent development, UBS Financial Services Inc. and one of its financial advisors, Timothy Rauwald, have been accused of mishandling a client’s account and breaching their fiduciary duty. The allegations, which span from January 4th, 2022, to March 10th, 2023, have raised concerns among investors and prompted an investigation by the national investment fraud

Barbara Leonard, a financial advisor associated with LPL Financial LLC, is currently facing allegations of recommending unsuitable investments to her clients. The complaint, filed on February 15, 2024, is currently pending resolution, according to the advisor’s FINRA BrokerCheck report. The details of the allegations state that Leonard‘s clients have accused her of recommending investments that

Victor Newman II, a broker and investment advisor associated with LPL Financial LLC (CRD #6413) in Ohio, is currently facing allegations of recommending unsuitable investments to clients. The customer dispute, filed on February 15, 2024, is currently pending resolution and involves direct investment products, specifically DPP & LP interests. According to a recent study by