State Farm VP Management Corp. (CRD 43036) and its registered representative, Allan Proctor (CRD 3045437), are currently under investigation by the national investment fraud law firm, Haselkorn & Thibaut, following a serious allegation of professional negligence. The pending customer dispute, filed on March 12, 2024, alleges that the customer took a loan from an insurance […]

Alexander Capital, L.P. and broker Joel Smith are currently facing serious allegations of suitability, unauthorized trading, breach of fiduciary duty, and failure to supervise. According to the recent FINRA disclosure, the alleged activity took place between 2015 and 2018, involving equity and OTC equity listed products. As a result, investors who have worked with Alexander

James Raia, a broker with Moloney Securities Co., Inc., is facing a serious customer dispute allegation that could have significant implications for investors. The complaint, filed on March 12, 2024, alleges suitability and negligence issues related to Raia’s handling of client investments in debt and corporate products between 2018 and 2021. The damage amount requested

Matthew Norton, a broker and investment advisor with McDonald Partners LLC (CRD 135414), is facing serious allegations from a client who claims that Norton recommended an unsuitable investment in corporate bonds and failed to conduct proper due diligence before making the offering. The claimant also alleges that Norton did not accurately disclose all material facts

Patrick Heller, a broker and investment advisor with Citizens Securities, Inc., is currently under investigation by Haselkorn & Thibaut, a national investment fraud law firm, following a serious customer dispute allegation. The case, which was filed on March 12, 2024, and closed with no action, has raised concerns among investors about the potential for financial