In a recent development, a customer has filed a complaint against Dustin West, an investment advisor, alleging unsuitable sale of fixed annuities. The customer claims that she was not informed of the extent of West’s commissions or ancillary incentives to sell the annuities at the time of the original sale. As a result, the customer […]

In a recent development, a customer has filed a dispute against William Laury, a broker and investment advisor associated with Northwestern Mutual Investment Services, LLC (CRD 2881) in Pennsylvania. The customer alleges that the variable universal life policy sold to them was unsuitable and expresses dissatisfaction with the fact that the funds deposited were used

In a recent customer dispute, clients of Dean Thompson, a broker and investment advisor at Wells Fargo Clearing Services, LLC, alleged that portfolio changes were made without their authorization, resulting in losses and unauthorized fees. The complaint, which covers the period from October 13, 2022, to November 17, 2023, was denied by the firm on