Burton Bartlett, a broker associated with Landolt Securities, Inc. (CRD 28352), is facing allegations of unsuitable investment recommendations related to the sale of GWG Holdings Inc. L bonds. The customer complaint, which was recently settled, comes nearly two years after GWG Holdings Inc. filed for Chapter 11 bankruptcy protection. Customer Alleges Unsuitable L Bond Purchase […]

Cynthia Giovacchino, a broker and investment advisor associated with SAIC Institutions, Inc. (CRD 35371) in Connecticut, is currently facing allegations of misrepresentation and unsuitability related to alternative investments and structured products. The customer dispute, filed on January 30, 2024, is pending resolution, with the disclosure type listed as a customer dispute. The allegations against Giovacchino

Cynthia Giovacchino, a broker and investment advisor with SAIC Institutions, Inc., is currently facing allegations of misrepresenting structured barrier notes to a customer. The customer dispute, filed on January 30, 2024, is pending resolution and involves alternative investments and structured products. According to the disclosure on Giovacchino’s FINRA BrokerCheck profile, the customer alleges that Giovacchino

Roman Sazonov, a financial advisor associated with Raymond James & Associates, Inc., is currently under investigation by Haselkorn & Thibaut, a national investment fraud law firm, following allegations of misconduct and mismanagement of client funds. The firm, with offices in Florida, New York, North Carolina, Arizona, and Texas, is offering free consultations to clients who

Billy Aycock, a broker and investment advisor associated with Cabin Securities, Inc., is currently facing allegations of misconduct related to the sale of GPB Waste Management LP investments. The customer dispute, filed on January 30, 2024, is pending resolution and involves claims that the respondents failed to conduct reasonable due diligence on the investment product