Hold onto your hats, folks, because we’ve got a doozy of an allegation on our hands. The financial world is abuzz with talk of a pending customer dispute against Aaron Werner, a broker and investment advisor with Raymond James & Associates, Inc. (CRD 705). The client alleges mismanagement of their account to the tune of

One might think it’s all sunshine and roses in the world of finance, but every once in a while, a storm brews. And boy, is it brewing now! A serious allegation has been leveled against William Beasley, a financial advisor currently associated with BHK Securities, LLC and BHK Investment Advisors. The claimant alleges that Beasley,

Financial scandals are no laughing matter. They can leave investors in the lurch and make a mockery of the trust placed in financial advisors. The case of Patrick N. Thayer, a registered representative of various broker dealers and an associated person of an investment adviser, is a sobering reminder of this fact. The U.S. District

It’s no laughing matter when an investor’s trust is breached. This is exactly the situation we find ourselves in today, as a serious allegation has been leveled against Matthew Rigoli of Citigroup Global Markets Inc. The gravity of this allegation cannot be overstated, as it involves a considerable sum of money and a breach of