In a recent development, a customer dispute has been filed against Fnex Capital, LLC (CRD 166316), a broker-dealer based in Indiana, and its former employee, Stephen Haskell (CRD 6864948). The complaint, which was submitted on February 5, 2024, and is currently pending, alleges breach of fiduciary duty, lack of suitability, and negligence in connection with […]

James Walesaa, a former broker at Arkadios Capital, is currently under investigation by Haselkorn & Thibaut, a national investment fraud law firm, for alleged unsuitable recommendations related to private investments. The firm, with offices in Florida, New York, North Carolina, Arizona, and Texas, is offering free consultations to clients who may have suffered losses due

Merrill Lynch financial advisor Teena Bourque (CRD# 2687982) is currently facing a pending customer dispute, according to her FINRA BrokerCheck report. The client alleges misrepresentation of fee structures related to variable annuities from June 2, 2023, to January 31, 2024. Bourque has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691) in

Phillip Pickett, a broker and investment advisor associated with Northwestern Mutual Investment Services, LLC, is currently facing allegations of unsuitable investment recommendations. The customer dispute, filed on February 5, 2024, revolves around a managed investment advisory account that was recommended in or around October 2021. The client alleges that the investment selections within the account