Many people worry about the advice they get from financial advisors, and many of these professionals have had issues with misconduct. Our article will guide you through the impact of such behaviors and ways to protect yourself. Keep reading for important insights. Key Takeaways Understanding Financial Advisor Misconduct Shifting our focus from the introduction, we […]
Investors across the globe may be familiar with the phrase “Customer Dispute,” but the gravity of these allegations can sometimes be overlooked. The severity of such allegations can be seen in a recent case involving Aubrey Lee, a broker and investment advisor associated with MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. The case, currently pending,
Aubrey Lee from Merrill Lynch in Hot Water Over Unsuitable Investment Recommendations Read More »
Investors should be aware of a recent case involving financial advisor Albert Foronda and Spartan Capital Securities, LLC (CRD 146251). On August 31, 2023, Foronda was suspended by the Financial Industry Regulatory Authority (FINRA) for failing to comply with an arbitration award or settlement agreement. This case is a stark reminder of the seriousness of
Albert Foronda’s Shocking Suspension from Spartan Capital Securities Uncovered Read More »
The seriousness of an allegation cannot be overstated, particularly when it involves financial malpractice that directly affects investors. This is currently the case with an ongoing customer dispute involving Gregory Lourdin and NEWBRIDGE SECURITIES CORPORATION. Allegation’s Seriousness and Case Information The allegation against Mr. Lourdin and Newbridge Securities Corporation is currently pending, with the dispute
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The Seriousness of the Allegation and Its Impact on Investors The seriousness of the allegations against Michael Molinaro and his member firm, Network 1 Financial Securities, Inc. (CRD 13577), cannot be understated. The Financial Industry Regulatory Authority (FINRA) has found that they did not establish, maintain, and enforce Written Supervisory Procedures (WSPs) reasonably designed to