Mark Joseph Boucher and his firm, Strategic Wealth Advisor Group Services Inc. (SWAG), faced serious fraud charges from the Securities and Exchange Commission (SEC). On February 8, 2022, the U.S. District Court for the Southern District of California ruled against Boucher and SWAG. The SEC accused them of misusing over $2.2 million from client accounts […]
Mark Joseph Boucher Suspended Read More »
In a recent development, clients have brought forth serious allegations against representative Kiffin Anderson, who is associated with Brokers International Financial Services, LLC. The case, which is currently pending, involves claims that Anderson disregarded clients’ requests to avoid investing in annuities and failed to disclose critical information about surrender fees and contract expenses. The severity
In a recent development, a serious allegation has been brought against financial advisor Victoria Watson of Edward Jones (CRD #250). The client has accused Watson of negligence in failing to provide proper advice and guidance on crucial aspects and requirements related to an Owner 401(k) plan. This allegation, filed on March 5, 2024, is currently
Allegation of Negligence Hits Advisor Victoria Watson and Firm Edward Jones Read More »
FINRA, the Financial Industry Regulatory Authority, has taken action against Concorde Investment Services LLC. The firm faces a fine of over $130,000 for selling unsuitable GPB Capital investments. This penalty stems from Concorde’s actions between November 2015 and April 2018. The company failed to properly oversee recommendations for GPB Capital limited partnership interests. These sales
FINRA Fines Concorde $130,000 For GPB Capital Sales Read More »
Robert Omohundro, a registered representative with Alexander Capital, L.P., is facing serious allegations of recommending unsuitable investments and investment strategies in various illiquid alternative investments. The severity of these allegations has prompted Haselkorn & Thibaut, a national investment fraud law firm, to launch an investigation into the advisor and the company. The Gravity of the