Kestra Investment Advisor Mitchell Walk Faces Unsuitable Investment Allegation

Mitchell Walk, a financial advisor associated with Kestra Investment Services, LLC, is facing a serious customer dispute allegation. According to the disclosure on his FINRA BrokerCheck profile, the claimant alleges that Walk recommended unsuitable investments, specifically direct investment DPP & LP interests. This pending case, filed on February 20, 2024, has the potential to significantly […]

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Scott Mason Charged With Fraud At Wealth Management Firm

Scott Mason, a 66-year-old wealth manager, faces serious fraud charges. Federal prosecutors in Philadelphia claim he stole $17 million from 13 clients at Rubicon Wealth Management. Mason ran the firm from 2016 to 2024, handling $231 million for about 115 clients. The charges include wire fraud, securities fraud, and investment adviser fraud. The Securities and

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Amy Charlson Faces Allegations of Misconduct at Edward Jones Firm

Amy Charlson, a registered representative with Edward Jones, is currently facing serious allegations from clients who claim that she provided incorrect information when advising them on their retirement plans. The allegations, which are pending resolution, have significant implications for investors who may have been misled by Charlson’s recommendations. According to the disclosure details, the claimants

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Western Asset Mutual Fund Complaints: Investor Protection Guide

Western Asset Mutual Fund Complaints have become a hot topic for investors. These concerns stem from recent events involving the company’s funds. The Rosen Law Firm is looking into claims about misleading information given to the public. This probe covers several Western Asset funds, such as LAOIX, WATFX, and WACPX. A major issue arose when

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Utah’s Share: $320,000 in Edward Jones’ $17M Settlement

Edward Jones, a major financial services firm, agreed to pay $17 million to settle claims from 14 state regulators. This settlement came after a four-year probe into the company’s practices. The investigation found that Edward Jones front-loaded commissions for Class A mutual fund shares. This led to gaps in supervision within the firm. The settlement

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2025

Kestra Investment Advisor Mitchell Walk Faces Unsuitable Investment Allegation

Scott Mason Charged With Fraud At Wealth Management Firm

Amy Charlson Faces Allegations of Misconduct at Edward Jones Firm

Western Asset Mutual Fund Complaints: Investor Protection Guide

Utah’s Share: $320,000 in Edward Jones’ $17M Settlement