Tim Hakes, a broker and investment advisor associated with Private Client Services, LLC (CRD# 120222) in Kansas, is currently facing allegations of misappropriation of funds related to a variable annuity. The complaint, filed on January 19, 2024, remains pending as of the latest disclosure. Understanding the Allegations and FINRA Rules Misappropriation of funds is a […]
Haselkorn & Thibaut has opened an investigation into Iselin, New Jersey financial advisor Matt Sottile (CRD# 4774814) following a recent investor complaint alleging unsuitable investment recommendations that resulted in losses. The national investment fraud law firm, with over 50 years of experience and a 98% success rate, is examining the circumstances surrounding Mr. Sottile’s advisory
Randy Birkinbine, a broker and investment advisor with Ausdal Financial Partners, Inc. (CRD 7995) in Minnesota, is facing serious allegations of misconduct related to the sale of GWG L Bonds. The pending customer dispute, filed on January 19, 2024, accuses Birkinbine of suitability issues, breach of fiduciary duty, negligence, and violation of Regulation Best Interest
Max Birkinbine, a broker and investment advisor associated with Ausdal Financial Partners, Inc. (CRD 7995) in Minnesota, is facing allegations of unsuitable investment recommendations, breach of fiduciary duty, negligence, and violation of Regulation Best Interest (Reg BI). The customer dispute, filed on January 19, 2024, and currently pending, involves investments in GWG L Bonds and
Eric Long, a broker and investment advisor with LPL Financial LLC (CRD 6413) in Pennsylvania, is currently facing allegations of failing to disclose fees associated with servicing a client’s 401k account. The customer dispute, filed on January 19, 2024, remains pending as of the latest information available on Long’s FINRA BrokerCheck (CRD #4809903). According to