Barbara Leonard, a financial advisor associated with LPL Financial LLC, is currently facing allegations of recommending unsuitable investments to her clients. The complaint, filed on February 15, 2024, is currently pending resolution, according to the advisor’s FINRA BrokerCheck report. The details of the allegations state that Leonard‘s clients have accused her of recommending investments that […]

Victor Newman II, a broker and investment advisor associated with LPL Financial LLC (CRD #6413) in Ohio, is currently facing allegations of recommending unsuitable investments to clients. The customer dispute, filed on February 15, 2024, is currently pending resolution and involves direct investment products, specifically DPP & LP interests. According to a recent study by

Simon Leung, a financial advisor with Wells Fargo Clearing Services, LLC, is currently under investigation by Haselkorn & Thibaut, a national investment fraud law firm, following allegations of recommending unsuitable investments to a customer. The customer complaint, filed on November 22, 2023, and denied on February 15, 2024, claims that Leung recommended purchasing a variable

On February 15, 2024, a customer dispute was filed against Davin Carey, a broker and investment advisor registered with Avantax Investment Services, Inc. (CRD #13686) in California since December 17, 2007. The allegations claim that Carey recommended an unsuitable investment in direct investment DPP & LP interests. The dispute is currently pending, and the damage