We want to share news about a major case that broke records in the investment world. On March 13, 2025, a FINRA arbitration panel ordered Stifel Financial Corp. to pay clients $132.5 million – the largest retail award in FINRA history. The case started when David Jannetti and his family sued Stifel for at least […]
Stifel’s $132.5M Arbitration Loss: What It Means for Investors and Financial Firms Read More »
Craig McDaniel, a broker and investment advisor with Capital Investment Group, Inc., is currently under investigation by the national investment fraud law firm Haselkorn & Thibaut. The firm, which has offices in Florida, New York, North Carolina, Arizona, and Texas, is offering free consultations to clients who may have suffered losses due to McDaniel’s alleged
In a recent development, a customer has filed a complaint against Robert Kilroy, a broker associated with Northwestern Mutual Investment Services, LLC (CRD 2881). The complaint, which was denied on February 16, 2024, alleges that the customer was not properly informed about the workings of a variable life insurance policy and had intended to make
John Stapleton, a broker with Spartan Capital Securities, LLC, is currently under investigation by the national investment fraud law firm, Haselkorn & Thibaut. The firm is looking into allegations of excessive commissions and fees charged by Stapleton in both equity trading and private placement investments. According to the Financial Industry Regulatory Authority (FINRA) BrokerCheck report,
John Stapleton From Spartan Capital Under Investigation for Alleged Excessive Fees Read More »
A Brooklyn federal judge struck down GPB Capital executives’ plea for a new trial on March 11, 2025. David Gentile and Jeff Schneider faced the court’s firm rejection after their conviction in a $1.8 billion Ponzi scheme fraud case. The seven-week trial revealed clear proof of the executives’ misuse of investor funds through fake distribution
Brooklyn Judge Rejects GPB Capital Execs’ Request For New Trial Read More »