Connor Seedall at DAI Securities Fights Serious Customer Dispute Allegation

Connor Seedall, a broker and investment advisor at DAI Securities, LLC, is facing a serious customer dispute allegation that could significantly impact investors. According to the Financial Industry Regulatory Authority (FINRA) BrokerCheck report, a client has alleged that Seedall provided unsuitable investment recommendations in 2018 and 2019, potentially involving alternative investments. The allegation against Connor […]

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Complaint About Financial Ombudsman

The Financial Ombudsman Service (FOS) helps solve money problems between people and businesses. Each week, they handle about 25,000 complaints about financial products and services. If you’re unhappy with a bank, credit card company, or other financial firm, you can ask the FOS for help. But first, you must complain to the business directly. They

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Financial Advisor from Northwestern Mutual Allegedly Sold Unsuitable Insurance Policies

Karen Schmidt, a financial advisor with Northwestern Mutual Investment Services, LLC, is facing serious allegations from customers who claim that she sold them unsuitable non-variable life insurance policies and a fixed annuity in or around May 2018. The customers further allege that Schmidt failed to inform them about the illiquid nature of the annuity and

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Questions to Ask Before You File a FINRA Complaint

Filing a FINRA complaint is a serious step for investors. FINRA, the Financial Industry Regulatory Authority, oversees brokers and brokerage firms in the United States. Before you file a complaint, it’s crucial to ask yourself key questions and gather important information. This process helps ensure your complaint is valid and well-supported. Hasekorn & Thibaut (InvestmentFraudLawyers.com)

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