Investments are a crucial aspect of financial planning, but they can be a minefield when not handled properly. Recent allegations against Lowrie Sargent, an investment advisor, have brought this issue to the forefront. The gravity of these allegations cannot be overstated, as they involve the provision of investment advice in Florida without the requisite registration […]

Investors are often faced with complex situations that can significantly impact their financial stability. One such situation is the allegation against financial advisor Stephen Medina and his associated company, Merrill Lynch, Pierce, Fenner & Smith Incorporated. The allegation, currently pending, was filed on 9/27/2023 by a client who claimed misrepresentations and unsuitable investments between February

Investors are often left in the dark when it comes to allegations of misconduct against their financial advisors. One such case is that of Thomas McDevitt, previously affiliated with AMERIPRISE FINANCIAL SERVICES, INC. (CRD 6363), who has recently been accused of failing to comply with an arbitration award or settlement agreement. This allegation is serious

Investment fraud is a serious allegation that can have significant consequences for both financial advisors and their clients. Recently, a claimant alleged that an alternative investment recommendation made by Mark Just over six years ago was not in line with his needs and objectives, and was not adequately explained to him. The claimant is seeking

Allegations of malpractice in the financial industry are a serious matter, and it’s crucial that investors understand the gravity of these situations. Recently, an allegation has been made against Frederick Hohensee, a broker and investment advisor at ABACUS INVESTMENTS, INC. The allegation, currently pending, involves a customer dispute regarding a drop in values from June