A financial advisor is in charge of making decisions for a client and should take the right steps. He should also be aware of his obligations and duties, such as the duty of care, good faith, and suitability. If he fails to fulfill any of his obligations, it may be grounds for negligence. When an […]
Financial Advisor Negligence: Recover Your Losses From Bad Advisors Read More »
In a recent development, financial advisor Thomas Geissler of Ameritas Investment Company, LLC (CRD 14869) is facing allegations of recommending unsuitable and high-risk fixed annuities to clients. The complaint, filed as FINRA Arbitration 24-00095, is currently pending resolution and has brought attention to the importance of investor protection and the role of regulatory bodies like
Haselkorn & Thibaut has opened an investigation into Portland, Oregon financial advisor Ali Chehab following multiple investor complaints and regulatory actions. If you’ve experienced investment losses or unauthorized trading activity with this advisor, understanding the details of these allegations can help you make informed decisions about your next steps. Understanding the Ali Chehab Regulatory Complaint
Portland Advisor Ali Chehab Faces FINRA Complaint After Merrill Lynch Termination Read More »
Thomas Watts, a broker and investment advisor at Edward Jones, is currently facing allegations relating to the purchase of Standard Lithium, Ltd. stock on behalf of a deceased client’s estate. The claimant, acting as the personal representative of the estate, filed a pending customer dispute on January 22, 2024, as disclosed in Watts‘ FINRA BrokerCheck
Brian Pfeiffer, a broker and investment advisor with Morgan Stanley, is currently facing allegations of unsuitability with respect to alternative investments from December 2021 to January 2024. The customer dispute, filed on January 22, 2024, is currently pending resolution. Haselkorn & Thibaut, a national investment fraud law firm, is investigating the advisor and offering free