2025

George Purdy, a broker and investment advisor associated with Cetera Investment Services LLC, is currently under investigation by Haselkorn & Thibaut, a national investment fraud law firm. The firm is offering free consultations to clients who may have suffered losses due to Purdy’s alleged failure to execute trades in mutual funds. Investment fraud and bad […]

Merrill Lynch and one of its financial advisors, Joseph Bowden, are facing allegations of unauthorized trading and failing to act in a client’s best interest. The alleged misconduct occurred between December 14, 2023, and January 31, 2024, involving managed and wrap accounts handled by the in-house money manager. According to the customer dispute filed on

Emerson Equity LLC and broker Forrest James are currently facing allegations of misrepresentation and unsuitable investments related to Delaware Statutory Trust (DST) investments. The customer dispute, filed on January 31, 2024, is currently pending resolution, with the damage amount requested undisclosed at this time. According to FINRA’s BrokerCheck, Forrest James has a history of customer

John Dow, a financial advisor at Morgan Stanley, is currently facing allegations of exploiting his personal familial relationship with a client to take control of the client’s assets in his role as power of attorney. The complaint, filed on January 31, 2024, is currently pending resolution and raises serious concerns about the conduct of the