Zachary Floberg, a broker and investment advisor with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has recently settled a customer dispute, according to FINRA CRD number 5135060. The client alleged that Floberg failed to follow instructions from November 16, 2023, to February 8, 2024, resulting in a settlement of an undisclosed amount related to debt […]

Diana Palmieri, a broker and investment advisor associated with VANDERBILT SECURITIES, LLC (CRD 5953) since January 27, 2009, is facing a pending customer dispute filed on February 8, 2024. The clients allege that investments made between 2014 and 2019 into non-traded REITs (Real Estate Investment Trusts) and BDCs (Business Development Companies) were unsuitable and illiquid.

Teddy Ezzell, a broker and investment advisor with LPL Financial LLC (CRD# 1527524), is facing allegations from customers who claim that an investment they purchased before moving their accounts to LPL was unsuitable for their investment objectives and risk tolerance. The customers filed a dispute on February 8, 2024, which was later closed with no

In a recent development, a former Ameriprise advisor, Samuel Haddix, has been accused of fraudulent activities and harassment by a plaintiff who sought his assistance in growing a small business. The allegations, filed on February 8, 2024, are currently pending resolution and have brought to light the potential risks investors face when engaging with financial