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 […]

Allegations of financial misconduct are a serious matter, carrying significant implications for both financial advisors and their clients. One such case currently under investigation involves John Pelletier, a financial advisor with BMO Harris Financial Advisors, Inc. and LPL Financial LLC. The allegation is a grave one: unauthorized trading in a customer’s Individual Retirement Account (IRA).

Allegations of financial malpractice are serious matters that demand immediate attention. One such case involves Ronald Smith, a former broker with YPTS Brokerage, LLC. According to a regulatory report dated 9/21/2023, Smith consented to the sanction and to the entry of findings without admitting or denying the allegations. The findings revealed that Smith refused to

Investment fraud is a grave issue that can lead to significant financial loss for investors. A recent case that underscores the seriousness of such allegations involves financial advisor Michael Williams of J.P. Morgan Securities LLC. Currently, the national investment fraud law firm Haselkorn & Thibaut is investigating the advisor and the company. Allegation’s Seriousness and