In a recent development, Austin Dutton, a former broker and investment advisor at American Trust Investment Services, Inc. (CRD 3001) in Pennsylvania, is facing allegations of breach of contract, breach of fiduciary duty, negligent supervision, and violation of the best interest obligations (Reg BI). The customer dispute, filed on February 13, 2024, is currently pending […]

Marc Meran, a broker and investment advisor currently employed by Morgan Stanley (CRD 149777) in Florida, is facing allegations of unsuitable investment recommendations related to municipal bonds. The customer dispute, filed on February 13, 2024, and currently pending resolution, has prompted an investigation by the national investment fraud law firm, Haselkorn & Thibaut. According to

Sanctuary Securities, Inc. and broker Chad Keller are currently under investigation by the investment fraud law firm Haselkorn & Thibaut following allegations of misconduct. The customer dispute, filed on February 13, 2024, claims that Keller disregarded the customer’s instructions not to sell their 75 shares of Eli Lilly stock, with 50 shares sold in 2016

In a recent development, customers have alleged that Richard Hubert Depalma, a registered representative associated with Centaurus Financial, Inc. (CRD 30833) in Pennsylvania, recommended and misrepresented unsuitable, high-risk, and speculative investments, breaching his fiduciary duty. The allegations, filed on February 13, 2024, are currently pending resolution. While no specific dates for the alleged activity were