Morgan Stanley Smith Barney Stockbroker David Fenning Complaints Filed

Morgan Stanley Smith Barney Complaints: Stockbroker David Fenning

Financial Advisor and Stockbroker Fraud / By / May 6, 2021 / , ,

Morgan Stanley Smith Barney stockbroker David W. Fenning (CRD#1005307) discloses 5 customer disputes on his FINRA record. Four of the disclosed cases have been settled while one is still open. Brokerage firms and stockbrokers are licensed and regulated by the Financial Industry Regulatory Authority (FINRA). FINRA regulations require members to mandatorily make certain disclosures like …

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UBS Yield Enhancement Strategy Lawsuit "FINRA": Jose Cornide Complaint

UBS Yield Enhancement Strategy Lawsuit “FINRA” Against Jose Cornide

Financial Advisor and Stockbroker Fraud / By / May 6, 2021 / , , , ,

The first lawsuit against financial advisor Jose Cornide (CRD#: 2785918), a representative of UBS Financial Services (CRD# 8174) accused of “unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy” was file by an attorney in April 2019, representing a client. The damages claimed are $10,000,000 and the options …

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Chad Burroughs and Burroughs Investment Group

Chad Burroughs (Lincoln Advisors) Ordered to Pay $560K By SEC

Financial Advisor and Stockbroker Fraud / By / April 29, 2021 /

The final judgment delivered by the Securities Exchange Commission (SEC) has ordered ex-advisor Chad Burroughs to pay $560,000 in disgorgement to elderly victims of his financial fraud. This is a little lower than the $575,000 restitution asked for in the criminal case. In April 2020, Burroughs was awarded a jail sentence of 33 months to …

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Christopher Bice Financial Advisor Complaints | Sagepoint Financial

Christopher Bice Financial Advisor Complaints | Sagepoint Financial

Financial Advisor and Stockbroker Fraud / By / April 26, 2021 / ,

Our investment fraud attorneys at Haselkorn & Thibaut are investigating clients’ complaints involving stockbroker Christopher R. Bice of Sagepoint Financial. Bice’s BrokerCheck records show a number of pending FINRA investment fraud lawsuits, including two client disputes related to private placements. The plaintiffs are seeking more than $2 million in damages and we believe there are …

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FS Energy & Power Fund (FSEP) Lawsuit "FINRA"

FS Energy & Power Fund (FSEP) Lawsuit “FINRA”

Financial Advisor and Stockbroker Fraud / By / April 19, 2021 / ,

Haslelkorn & Thibaut, P.A. continues to investigate the liability of the brokerage firms that recommended the FS Energy and Power Fund (FSEP) to investors. The company has recently reported a decline in value and we may be able to help you recover your financial losses. The company’s website says: “Market events in 2020 have impacted …

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