Carl Zeidler, a former broker with Hornor, Townsend & Kent, Inc. (CRD 4031), is facing allegations of unsuitable annuity product sales and failure to disclose crucial information to clients. According to the pending customer dispute filed on January 3, 2024, Zeidler allegedly presented an annuity product without offering alternative options and failed to explain the […]
Joseph Frederick Eschleman: Investigation Underway by Haselkorn & Thibaut Haselkorn & Thibaut (investmentfraudlawyers.com), a national law firm focused on securities fraud recovery, has launched an investigation into Joseph Frederick Eschleman (CRD #3237843), a Sacramento, CA-based financial advisor affiliated with Purshe Kaplan Sterling Investments and Towerpoint Wealth, LLC. Our goal in this report is to provide
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FINRA recently sanctioned Independent Financial Group LLC (IFG) with a $100,000 fine and a censure after finding the firm allowed a suspended registered representative to continue conducting activity from April through November 2022. IFG agreed to the settlement without admitting or denying the findings and waived any defense based on inability to pay. Below is
Jerry Kiefer, a broker and investment advisor associated with Equitable Advisors, LLC (CRD 6627), is facing allegations of misrepresenting investments to a customer. The customer dispute, which was denied by the firm, occurred on January 3, 2024, according to the advisor’s FINRA BrokerCheck report. The complaint alleges that Kiefer misrepresented the customer’s investments, potentially leading
Raymond Noel Garner – Former LifeMark Securities Broker in Saint Augustine, FL: Investor Update and Review Haselkorn & Thibaut, a nationally recognized investment fraud law firm, has launched an independent investigation into Raymond Noel Garner (CRD# 1489704), a former broker of LifeMark Securities Corp. in Saint Augustine, Florida. If you’re an investor who worked with