2025

In a recent development, a client has alleged that Richard Miller, an advisor at Ameriprise Financial Services, LLC, sold all positions from his Ameriprise One account without his authorization. The incident, which took place on February 4, 2024, has been settled, according to the disclosure filed with FINRA. Details of the Allegation The client’s complaint […]

In a recent development, a customer dispute has been filed against Fnex Capital, LLC (CRD 166316), a broker-dealer based in Indiana, and its former employee, Stephen Haskell (CRD 6864948). The complaint, which was submitted on February 5, 2024, and is currently pending, alleges breach of fiduciary duty, lack of suitability, and negligence in connection with

James Walesaa, a former broker at Arkadios Capital, is currently under investigation by Haselkorn & Thibaut, a national investment fraud law firm, for alleged unsuitable recommendations related to private investments. The firm, with offices in Florida, New York, North Carolina, Arizona, and Texas, is offering free consultations to clients who may have suffered losses due

Merrill Lynch financial advisor Teena Bourque (CRD# 2687982) is currently facing a pending customer dispute, according to her FINRA BrokerCheck report. The client alleges misrepresentation of fee structures related to variable annuities from June 2, 2023, to January 31, 2024. Bourque has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691) in