Mark Alan Thompson (EPG Wealth Management) (Arkadios Capital) Investigation

At Haselkorn & Thibaut, we’re closely following the Mark Alan Thompson investigation. This case involves a stockbroker named Mark Alan Thompson, who has faced challenges regarding investment advice and suitability concerns for his clients. One client has requested over $1 million in damages in connection with these issues. Since February 2017, Thompson has been associated […]

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FINRA Fines Percival Financial Partners and Kenneth P. Taylor Sr.

The Financial Industry Regulatory Authority (FINRA) fined Percival Financial Partners Ltd. and Kenneth P. Taylor Sr. for regulatory violations including insufficient net capital maintenance, conducting business while suspended, filing inaccurate financial reports, and maintaining incorrect books and records. The violations occurred on multiple dates including November 1, 2021, April 1, 2022, and April 9, 2023.

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Gary Barth of Ameritas Investment Company Faces Customer Dispute Over Variable Annuities

Gary Barth, a broker and investment advisor with Ameritas Investment Company, LLC, has been named in a recent customer dispute, according to disclosures on his FINRA BrokerCheck report. The complaint, filed on February 8, 2024, alleges that the complainant requested Ameritas to add a death benefit rider to their variable annuity at no additional cost

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LPL Financial Advisor Rowena Ruff Faces Pending Dispute Over Alleged Unsuitable Investment

Rowena Ruff, a broker and investment advisor associated with LPL Financial LLC (CRD# 6413), is facing a pending customer dispute filed on February 8, 2024. The complaint, lodged by a disgruntled investor, alleges that an investment made in 2014 was unsuitable for the customer’s investment objectives and risk tolerance. The investment in question is a

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Todd Pilosi of LPL Financial Facing Unsuitable Investment Allegation

Todd Pilosi, a former broker and investment advisor at LPL Financial LLC, is currently facing allegations of unsuitable investment recommendations. According to a recent customer dispute filed on February 8, 2024, the customer alleges that an investment made in 2014, under the guidance of Pilosi, was unsuitable for their investment objectives and risk tolerance. The

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