2025

James Flynn, a former broker with IFS Securities, is facing allegations of recommending risky, illiquid, and unsuitable alternative investments to a client. The client, who filed a pending customer dispute on February 1, 2024, claims that Flynn misrepresented the risks associated with these non-publicly traded investments, particularly in the real estate security sector. According to […]

Merrill Lynch advisor Darel Mitchell is currently under investigation by Haselkorn & Thibaut, P.A., a national investment fraud law firm, following allegations of misrepresentation. The customer dispute, which was filed on February 1, 2024, and closed with no action, claims that Mitchell engaged in misrepresentation from March 23, 2023, to November 9, 2023. According to

In a recent development, Morgan Stanley advisor Fletcher King has been named in a customer dispute alleging that investments recommended for the client were not in her best interests. The complaint, filed by the client’s attorney, raises concerns about the suitability of the investment advice provided by King during the period of 2021-2023. According to

In a recent development, Sanford Schmidt, a broker and investment advisor associated with The Leaders Group, Inc. (CRD 37157) in Colorado, has been named in a customer dispute filed on February 1, 2024. The allegations against Schmidt include violations of the Securities Law of 1953, the Illinois Consumer Fraud and Deceptive Business Practices Act, fraudulent