Serious Customer Dispute Allegation Against Virtue Capital Management and Advisor Stuart Boxenbaum

Virtue Capital Management, LLC and former advisor Stuart Boxenbaum (CRD 1789726) are facing a serious customer dispute allegation, as reported on August 17, 2023. The complaint, filed by a client who inherited an account from a surviving spouse, raises concerns about the suitability and liquidity of a Real Estate Investment Trust (REIT) recommended by the […]

Serious Customer Dispute Allegation Against Virtue Capital Management and Advisor Stuart Boxenbaum Read More »

Morgan Stanley and Broker Juan Elwaw Accused of Breaching Fiduciary Duty

Morgan Stanley and broker Juan Elwaw are facing a serious allegation of breach of fiduciary duty from the estate of a deceased client. The claim, filed on August 17, 2023, and currently pending, alleges misconduct between 2014 and 2015, with the estate seeking damages of $2,900,000. This significant claim raises concerns for investors who have

Morgan Stanley and Broker Juan Elwaw Accused of Breaching Fiduciary Duty Read More »

Investor Dispute Filed Against Michael Nielson and IFP Securities Over Improper Investment Recommendation

Michael Nielson, a broker and investment advisor associated with IFP SECURITIES, LLC (CRD 297287), is facing a serious customer dispute filed on August 17, 2023. The client alleges that Nielson improperly recommended a high-risk, high-commission illiquid alternative investment in GWG Holdings, Inc., misrepresenting the investment’s suitability for their financial situation, needs, investment objectives, and risk

Investor Dispute Filed Against Michael Nielson and IFP Securities Over Improper Investment Recommendation Read More »

Centaurus Financial Advisor Joseph Michael Todd Permanently Banned for Fraudulent Activities

Joseph Michael Todd, a former broker and investment advisor associated with Centaurus Financial, Inc. (CRD 30833) from August 2016 to July 2022, has been permanently barred by the Securities and Exchange Commission (SEC) from the securities industry. The SEC’s action against Todd stems from allegations of serious misconduct, including misappropriation of investor funds, false statements,

Centaurus Financial Advisor Joseph Michael Todd Permanently Banned for Fraudulent Activities Read More »

Scroll to Top