2025 – Page 181 Of 263 – Investment Fraud Lawyers

SEC Charges American Investment Adviser For Conflict Of Interest Issues

Recently, the SEC charged American Portfolios Advisors with conflict-of-interest issues, making us think about investor safety. The Securities and Exchange Commission fined American Portfolios Advisors $1.75 million for overcharging clients on alternative investments from August 2020 to March 2023. This case highlights how important it is for firms to share all facts with their clients, […]

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Delaware Statutory Trust (DST) Fraud and Loss Recovery Tips

When it comes to Delaware Statutory Trust (DST) investments, your financial advisor should be your trusted guide through what can feel like a maze of complex decisions. But what happens when that guide leads you astray? As attorneys who’ve seen countless investor disputes, we know the warning signs that separate trustworthy advisors from those who

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Brady Jackson Faces Pending Dispute, Haselkorn & Thibaut Investigate Charles Schwab & TD Ameritrade

Brady Jackson, a financial advisor associated with Charles Schwab & Co., Inc. and TD Ameritrade, Inc., is facing a pending customer dispute, as per the information available on his FINRA BrokerCheck record. The client alleges misrepresentation regarding the beneficiary designation of an account starting in January 2019. The disclosure type is listed as a customer

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Fidelity Brokerage and Pamela Calhoun Face Misconduct Allegations Over Investment Recommendations

Fidelity Brokerage Services LLC and one of its registered representatives, Pamela Calhoun, are currently facing allegations of unsuitable investment recommendations and overconcentration in structured products. The customer dispute, filed on January 26, 2024, is currently pending resolution, with the claimant seeking damages from the firm and the advisor. According to the disclosure on Calhoun’s FINRA

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Billy Aycock and Cabin Securities Face Dispute Over Customer Investment Allegations

In a recent development, claimants have brought forth allegations against Billy Aycock and Cabin Securities, Inc. (CRD 137608), a broker-dealer based in Kansas. The customer dispute, filed on January 26, 2024, and currently pending resolution, revolves around the purchases of GWG L Bonds made by the claimants on multiple dates in 2019. The claimants allege

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