It’s an unsettling scenario, to say the least. Imagine entrusting your hard-earned money to a financial advisor, only to Discover that they’ve allegedly skipped town with your remaining balance. That’s the predicament one customer finds herself in, as she alleges that her former advisor, Adam Marquardt, pocketed the remaining funds she invested in his outside […]

Allegations of negligence, gross negligence, failure to supervise, and breach of fiduciary duty have been raised against Derek Su, a broker and investment advisor at USCA SECURITIES LLC. The claimants, who have been clients of USCA since 2015, allege that Su failed to properly structure their accounts to meet their retirement goals when he began

It’s a chilling tale that sends shivers down the spine of any investor. On June 12, 2023, a pending customer dispute surfaced. The executor of an estate is alleging that their financial advisor, John Forster, failed to act in her best interest. The claim is that Forster made an unsuitable recommendation related to a variable

It’s a rather grim scenario when your hard-earned retirement savings are potentially at risk due to unsuitable, illiquid, and speculative investments. That’s precisely the allegation being raised by a claimant against Eliah Ewing, a financial advisor with Ameriprise FINANCIAL SERVICES, LLC. The claimant alleges that she was recommended to invest her retirement savings in FSIC