In a recent development, a customer dispute has been filed against Bruce Stark, a broker associated with Aegis Capital Corp. (CRD 15007) in New York. The complaint, which was denied on February 15, 2024, alleges that Bruce Stark provided poor advice and unsuitable use of margin in the client’s account between January 2021 and the […]
Dispute Filed Against Broker Bruce Stark at Aegis Capital Over Poor Advice Read More »
The Cody Keller investigation reveals serious breaches in financial services conduct that affect many investors. We’ve tracked this case closely since it began on February 13, 2025, when FINRA launched its formal inquiry. Keller, who started his FINRA registration in March 2017, now faces multiple charges that paint a troubling picture. His career took a
Cody Keller Investigation: Allegations, Violations, And Indictments Unveiled Read More »
Kevin Ogden, a broker affiliated with Cetera Advisor Networks LLC, is facing serious allegations of unauthorized trading and significant investment losses. The complaint, filed by the representative of a deceased client’s estate, claims that Ogden executed transactions without proper authorization in 2017, resulting in substantial financial damages. As the case unfolds, it raises important questions
Serious Allegations Against Broker Kevin Ogden of Cetera Advisor Networks LLC Read More »
Kevin Paasch, a broker and investment advisor with MML Investors Services, LLC, is under investigation for alleged misconduct in handling a client’s joint account in 2021. The client claims that Paasch failed to follow instructions regarding the sale and transfer of assets, and later transferred money from the joint account to an account held by
Are you an investor who’s faced losses due to the advice of financial advisor Dharmesh Vora? Recent complaints have piled up against Mr. Vora, totaling over $1 million in loss claims, including allegations related to equity linked notes. Last September, the The United States Securities and Exchange Commission (SEC) fined Dharmesh Vora $300,000, ordered him
Vora Wealth Management (Dharmesh Vora) Investor Loss Recovery Options 2025 Read More »