The seriousness of an allegation cannot be understated, especially when it involves potential fraud in the financial industry. A case in point is the recent allegation against Shawn Good, a financial advisor previously associated with Morgan Stanley Smith Barney and Morgan Stanley (CRD 149777). The case is currently pending, with the claimant alleging fraud with […]

Investment management is a crucial aspect of financial planning. However, when financial advisors fail to fulfill their duties, it can lead to serious repercussions. A recent case has come to light where a client has claimed a failure to diversify out of a concentration position and lack of downside protection by their financial advisor, Susan

The world of financial investments can often be a complex and challenging landscape to navigate. Even more so when trust is broken, and allegations of misconduct arise. Such is the case with a pending customer dispute involving Ashley Upson of PFS Investments Inc., a broker currently under investigation by Haselkorn & Thibaut, a national investment