Gary Costello, a former broker and investment advisor at Aegis Capital CORP. (CRD 15007), has been accused of executing unauthorized trades in a client’s account during early 2023. The client, who was an authorized party to the account, discovered the alleged misconduct after reviewing account statements. The dispute was settled on January 4, 2024. Unauthorized […]

Investigation Into Joe Gamez and Raymond James: What Investors Need to Know Haselkorn & Thibaut has opened an investigation into former San Antonio financial advisor Joe Gamez following his recent bar from the securities industry and allegations of misusing customer funds. If you invested with Joe Gamez at Raymond James or any of his previous

In a recent development, customers have alleged that they were unaware of the contract fees and expressed concerns about the market losses and performance of their variable annuity contracts with Jeffrey Feldhusen of PFS Investments Inc. (CRD 2783704). The case, which is currently pending resolution, has brought to light the importance of transparency and clear

In a recent development, a customer dispute has been filed against financial professional Matthew Stucke of Cetera Advisor Networks LLC (CRD 13572) in Georgia. The Statement of Claim, submitted on January 4, 2024, alleges that Stucke recommended unsuitable and risky investments, resulting in substantial losses for the client. The case is currently pending, and the

Haselkorn & Thibaut Opens Investigation into David Franklin of Integral Wealth Securities Haselkorn & Thibaut, a leading National Securities fraud law firm, has opened an investigation into David Franklin (CRD# 5236215), a former financial advisor who was recently barred by FINRA while registered with Integral Wealth Securities. If you had investments with David Franklin or