Thomas Moran, a financial advisor formerly associated with Wells Fargo Advisors Financial Network, LLC, is facing a serious allegation from a client who claims that Moran acted against her instructions, resulting in unnecessary tax implications and hindering the growth potential of her account. The alleged misconduct began sometime in 2018 and has now escalated into

Randy Birkinbine, a broker and investment advisor associated with Ausdal Financial Partners, Inc., is facing serious allegations of violating common law, negligent supervision, breach of fiduciary duty, and violations of the Minnesota Uniform Securities Act. The allegations, which are currently pending, involve investments made in Bakkan Drilling Fund III, Bakkan Income Fund, and GWG L