2025

In a recent development, a customer has filed a dispute against William Laury, a broker and investment advisor associated with Northwestern Mutual Investment Services, LLC (CRD 2881) in Pennsylvania. The customer alleges that the variable universal life policy sold to them was unsuitable and expresses dissatisfaction with the fact that the funds deposited were used […]

In a recent customer dispute, clients of Dean Thompson, a broker and investment advisor at Wells Fargo Clearing Services, LLC, alleged that portfolio changes were made without their authorization, resulting in losses and unauthorized fees. The complaint, which covers the period from October 13, 2022, to November 17, 2023, was denied by the firm on

In a recent development, a customer dispute against Thomas Hamlin, a broker associated with Somerset Securities, Inc. (CRD 2493), has been settled. The allegation involved an unsuitable recommendation to purchase an iCap Equity private placement, which subsequently led to significant losses for the investor when iCap Equities filed for bankruptcy on September 12, 2023. According

Steven Mayer, a broker and investment advisor associated with LPL Financial LLC, is currently facing allegations of misrepresentation related to an annuity product. The customer dispute, filed on January 29, 2024, is currently pending resolution. Haselkorn & Thibaut, a national investment fraud law firm, is investigating the advisor and the company, offering free consultations to

In a recent development, Cetera Investment Services LLC and its broker, Joshua Green, have come under scrutiny following allegations made by a client. The client, who remains anonymous, has claimed that Joshua Green invested her funds from a Franklin fund into another fund without her permission. The incident, which occurred on January 29, 2024, has