Austin’s Chris Moyseos, a financial advisor with Morgan Stanley, is currently under scrutiny as a client investment complaint alleging over half a million dollars in damages has been lodged against him. As per the data available with the Financial Industry Regulatory Authority (CRD# 5584290), the investor complaint was filed in June 2023, putting Moyseos’s credibility […]
Advisor from Morgan Stanley Gets $585K Complaint Read More »
Further scrutiny has been drawn to the financial advisory industry as Steve Gessner, a Baltimore-based financial advisor, has allegedly recommended unsuitable investments, as noted in a recent investor complaint. Gessner, identified with CRD# 2650114, has a recorded experience of 27 years in the securities industry. Currently an investment advisor with WPG Financial Group, he was
Steve Gessner, WPG Advisor, Receives Oil & Gas Complaint After Risky Investment Read More »
Luke Johnson, a previous associate at Legend Capital Group and Coastal Equities, has received a permanent ban by the Financial Industry Regulatory Authority (FINRA) from operating as a broker or having any affiliation with a broker-dealer firm. This consequence comes in the wake of Johnson’s inappropriate suggestions to a group of nine customers to invest
Luke Johnson (Legend Capital Group) BARRED – Investor Loss Recovery Options Read More »
Is your investment secure with your financial advisor? Is it time to reassess your financial strategies? The unfolding tale of Chuck Roberts and his alleged involvement in financial irregularities might give you a reason to pause. Chuck Roberts, a managing director of investments with Stifel Nicolaus & Co. Inc., is currently embroiled in a whirlpool
The Chuck Roberts Stifel Scandal: $23+ Million-Dollar Loss and Customer Complaints Read More »
Brad Jacobson, a former broker and investment advisor at Wells Fargo, has recently been barred by the Financial Industry Regulatory Authority (FINRA) from acting as a broker or associating with any broker-dealer firm. This decision by FINRA comes after Jacobson refused to provide information regarding his alleged involvement in outside business activities and the potential
Broker Brad Jacobson Barred by FINRA for Misconduct Read More »