Haselkorn & Thibaut has opened an investigation into Iselin, New Jersey financial advisor Matt Sottile (CRD# 4774814) following a recent investor complaint alleging unsuitable investment recommendations that resulted in losses. The national investment fraud law firm, with over 95 years of experience and a 98% success rate, is examining the circumstances surrounding Mr. Sottile’s advisory […]
Randy Birkinbine, a broker and investment advisor with Ausdal Financial Partners, Inc. (CRD 7995) in Minnesota, is facing serious allegations of misconduct related to the sale of GWG L Bonds. The pending customer dispute, filed on January 19, 2024, accuses Birkinbine of suitability issues, breach of fiduciary duty, negligence, and violation of Regulation Best Interest
The Financial Industry Regulatory Authority (FINRA) has imposed a $175,000 fine on Stifel, Nicolaus & Company for failing to provide accurate quarterly reports on how the firm handled customer orders in National Market System (NMS) securities. This regulatory action highlights ongoing supervisory failures at one of the nation’s largest brokerage firms. The Violations: Inaccurate Order
FINRA Fines Stifel Nicolaus $175,000 for Inaccurate Investor Order Reports Read More »
Max Birkinbine, a broker and investment advisor associated with Ausdal Financial Partners, Inc. (CRD 7995) in Minnesota, is facing allegations of unsuitable investment recommendations, breach of fiduciary duty, negligence, and violation of Regulation Best Interest (Reg BI). The customer dispute, filed on January 19, 2024, and currently pending, involves investments in GWG L Bonds and
Eric Long, a broker and investment advisor with LPL Financial LLC (CRD 6413) in Pennsylvania, is currently facing allegations of failing to disclose fees associated with servicing a client’s 401k account. The customer dispute, filed on January 19, 2024, remains pending as of the latest information available on Long’s FINRA BrokerCheck (CRD #4809903). According to