FINRA recently sanctioned Independent Financial Group LLC (IFG) with a $100,000 fine and a censure after finding the firm allowed a suspended registered representative to continue conducting activity from April through November 2022. IFG agreed to the settlement without admitting or denying the findings and waived any defense based on inability to pay. Below is […]
Jerry Kiefer, a broker and investment advisor associated with Equitable Advisors, LLC (CRD 6627), is facing allegations of misrepresenting investments to a customer. The customer dispute, which was denied by the firm, occurred on January 3, 2024, according to the advisor’s FINRA BrokerCheck report. The complaint alleges that Kiefer misrepresented the customer’s investments, potentially leading
Raymond Noel Garner – Former LifeMark Securities Broker in Saint Augustine, FL: Investor Update and Review Haselkorn & Thibaut, a nationally recognized investment fraud law firm, has launched an independent investigation into Raymond Noel Garner (CRD# 1489704), a former broker of LifeMark Securities Corp. in Saint Augustine, Florida. If you’re an investor who worked with
Ryan Finch, Emerson Equity Advisor in Greenwood, Colorado: Comprehensive 2025 Investor Report Haselkorn & Thibaut, a leading national investment fraud law firm, has opened an investigation into Ryan Finch (CRD# 6379871), a Colorado-based financial advisor registered with Emerson Equity, doing business as Tangible Wealth Solutions. This research-backed report provides investors with a complete and updated
Ryan Finch Emerson Equity Faces $542,000 Investor Complaint Investigation Read More »
Merrill Lynch advisor Donald Hansen is currently under investigation for allegedly excessively trading a client’s account and failing to act in her best interest between January 2021 and January 2024. The client has filed a pending customer dispute against Hansen, who was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD 7691) in California