Marc Koch, a broker and investment advisor currently employed by Morgan Stanley (CRD 149777) in New York, is facing a serious customer dispute allegation. The complaint, filed on March 11, 2024, and currently pending resolution, involves alleged misrepresentation related to mutual fund investments. This ongoing case has the potential to significantly impact investors who have […]
Richard J. Jackson, a former broker at Equity Services in New York, faced suspension by FINRA for one month. This action came after an investigation into his conduct following his termination in November 2022. FINRA, the Financial Industry Regulatory Authority, cited Jackson for violating Rule 2210. He made false and misleading claims to at least
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In a recent development that has sent shockwaves through the investment community, a serious allegation has been made against Austin Arata, a representative of Kinecta Financial & Insurance Services and LPL Financial LLC. The claimant alleges that Arata made unauthorized transactions in their accounts in May 2023, involving variable annuity products. This case, filed on
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
Allan Proctor of State Farm VP Under Fraud Investigation by Haselkorn & Thibaut Read More »
