Financial Advisor Fraud Archives – Page 186 Of 547

Leslie Lauer of RBC Capital Markets Faces Customer Dispute Over Alleged Unsuitable Investment Advice

In a recent development, a customer dispute has been filed against Leslie Lauer, a broker and investment advisor associated with RBC Capital Markets, LLC (CRD 31194) in Georgia. The allegations, which span from February 2018 to June 2020, claim that Lauer made unsuitable recommendations and misrepresented an options overlay strategy to clients. The dispute, filed […]

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Haselkorn & Thibaut Opens Investigation into Brandon Spano — What Investors Should Know

Haselkorn & Thibaut is investigating recent regulatory findings concerning financial professional Brandon Spano and is offering a free, no‑cost consultation to any investors who believe they may have been affected. Below we summarize the regulatory action, explain why it matters to investors, and set out concrete steps you can take if you had dealings with

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Probe Launched: Matthew Parker’s Termination from LPL Financial Under Investigation

Investigation Opened Into Matthew Parker Following LPL Financial Termination Haselkorn & Thibaut has opened an investigation into Santa Rosa financial advisor Matthew Parker (CRD# 6010373) following his termination from LPL Financial in September 2025. The firm is examining allegations that Parker liquidated an annuity and used the proceeds to fund a separate annuity purchase for

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William Schumann And Grove Point Investments Face FINRA Claims Over NorthStar Healthcare Income REIT

In a recent development, Grove Point Investments, LLC and William Schumann, a registered representative with Cetera Financial Specialists LLC (CRD 1604894), are facing allegations of unsuitability, overconcentration, breach of fiduciary duty, and negligence in relation to the NorthStar Healthcare Income REIT. The Statement of Claim, filed on behalf of nine claimants, alleges that the activity

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Indianapolis Advisor Edward Villanyi Under Investigation at Stifel Nicolaus

Edward Joseph Villanyi, Stifel, Nicolaus & Company – Investor Investigation in Indianapolis, IN Haselkorn & Thibaut, a leading national investment fraud law firm, has initiated an investigation into Edward Joseph Villanyi (CRD #2348401), a financial advisor based in Indianapolis, Indiana and currently affiliated with Stifel, Nicolaus & Company, Incorporated. If you are an investor with

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