In a recent settlement, a customer dispute against Philip Miceli, a registered representative of MML Investors Services, LLC, has been resolved. The complainant alleged that Miceli provided ill-advised guidance regarding a withdrawal from her inherited IRA on or about November 17, 2023, resulting in a substantial tax liability. The complaint, filed under Case #202401040056, was […]

Haselkorn & Thibaut has opened an investigation into Stamford, Connecticut advisor Ron Smith (CRD# 6038062), a financial professional recently barred by FINRA following his tenure at Spartan Capital and currently listed with Sanford C. Bernstein & Company and AllianceBernstein. Who is Ron Smith? Ron Smith is a financial advisor with 12 years of experience in

Haselkorn & Thibaut Initiates Investigation into Pasadena, CA Morgan Stanley Advisor Katy Yun Zhao (CRD 5264406) Haselkorn & Thibaut, a nationally recognized investment fraud law firm (investmentfraudlawyers.com), has opened an investigation into the activities of Katy Yun Zhao, a financial advisor registered with Morgan Stanley’s Pasadena, CA branch. With concerns arising from a recently settled

Haselkorn & Thibaut has opened an investigation into Irvine, California financial advisor Brian Lombardi (CRD# 4227216), currently registered with Boustead Securities and Sutter Securities. If you have invested with Brian Lombardi, it’s crucial to understand his regulatory background, the specific investor complaints on record, and potential red flags that could impact your investment experience. Who

David Nastri, a broker and investment advisor associated with LPL Financial LLC (CRD 6413) in Connecticut, is facing allegations from customers regarding an inappropriate investment made in 2014. The customers claim that the investment, a real estate security, was unsuitable for their investment objectives and risk tolerance. The case, filed on January 2, 2024, is