The investment world can be a complex and daunting place, especially when allegations of misconduct arise. In a recent case, a serious allegation has been made against Kevin Kuehn, a broker and investment advisor associated with Lincoln Financial Advisors Corporation. The allegation, which is currently pending, claims that Kuehn recommended unsuitable oil and gas investments […]
Financial advisor Donald McCarthy received a two-month suspension and a $10,000 fine for sharing confidential information on December 23, 2022. Donald McCarthy was suspended from the investigation, and complaints revealed violations of FINRA Rule 2010 and the Bank Secrecy Act. We discovered that McCarthy consented to FINRA’s findings on January 24, 2025, leading to his
Donald McCarthy Suspended: Investigation and Complaints Surrounding His Suspension Read More »
We uncovered serious allegations against UBS broker Jose Gabriel Ramirez Jr. for investment fraud and financial misconduct. A retired couple in their 70s, Orlando Rodriguez Gonzalez and Milagros Vila Maldonado, trusted Ramirez Jr. with $7 million in liquid assets. The broker directed their funds into UBS closed-end mutual funds, which led to devastating losses of
UBS Broker Jose Rodriguez Investigation and Complaints Read More »
In a recent development that has sent shockwaves through the investing community, a serious allegation has been made against Richard Brownstein, a former broker and investment advisor associated with Lincoln Financial Advisors Corporation. According to the disclosure filed on February 16, 2024, a customer has alleged that Brownstein recommended an unsuitable Oil & Gas investment,
Financial advisor Edwin Lickiss faces serious allegations of fraudulent bond sales during his time at Arkadios Capital. Our investigation reveals multiple investor complaints totaling $2.8 million against this former stockbroker. Edwin Michael Lickiss Arkadios Complaints And Investigation shows a troubling pattern of misconduct spanning several decades. His BrokerCheck report lists four pending investor complaints about
Arkadios Advisor Edwin Lickiss Complaints And Investigation Read More »