Allegation of Negligence Hits Advisor Victoria Watson and Firm Edward Jones

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 […]

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FINRA Fines Concorde $130,000 For GPB Capital Sales

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

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Robert Omohundro of Alexander Capital Faces Suitability Allegations, Prompting Investigation

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

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Serious Allegations Lodged Against Peter Maller and Lincoln Financial Advisors Corporation

In a recent development that has sent shockwaves through the investment community, a serious allegation has been leveled against Peter Maller, a broker and investment advisor associated with Lincoln Financial Advisors Corporation (CRD 3978). The gravity of this case cannot be overstated, as it has the potential to significantly impact the trust and confidence of

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