Scott Hume, a broker and investment advisor with Moloney Securities Co., Inc. (CRD 38535) in Washington state, is facing a pending customer dispute filed on January 11, 2024. The allegation centers around claims of unsuitability and negligence related to debt and corporate securities. The client is seeking $2,020,000 in damages. Hume has been registered with […]

Kurt Petrucci, a broker with MML Investors Services, LLC, is facing allegations of misconduct related to the sale of variable and fixed annuities. According to a recent customer dispute filed on January 12, 2024, the complainant alleges that Petrucci failed to properly explain the limitations and surrender penalties associated with the annuities sold to the

Haselkorn & Thibaut Initiates Investigation Into James Martin Appel, Centaurus Financial Broker in Santa Barbara, CA Investors deserve to feel confident in their financial advisor’s experience, integrity, and track record. Haselkorn & Thibaut, a national investment fraud law firm with over 95 years of experience and a 98% success rate, has opened an investigation into

Adam Kotz, a former investment advisor with Merrill Lynch, is facing allegations of making unsuitable investment recommendations and decisions for a former client. The customer dispute, filed on January 12, 2024, is currently pending resolution, according to FINRA BrokerCheck. The client alleges that Kotz, who is no longer registered as a broker but maintains his

Jose F. Fuentes III – Fort Worth, TX Merrill Lynch Financial Advisor: A Detailed Investor Investigation Haselkorn & Thibaut, a nationally recognized investment fraud law firm, has launched an independent investigation regarding Jose F. Fuentes III (CRD #8007089), a Fort Worth, TX-based financial advisor currently registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD