Financial Advisor Fraud Archives – Page 200 Of 417

Allegations Against Karl Fisher and Equitable Advisors Raise Investor Concerns

In a recent development, a serious allegation has been made against Karl Fisher, a registered representative affiliated with Equitable Advisors, LLC (CRD 6627). The customer dispute, filed on February 22, 2024, and currently pending resolution, claims that Fisher recommended unsuitable alternative investments and made misrepresentations in connection with these recommendations. This allegation raises concerns for […]

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FINRA Bars Morgan Stanley FA James Daly Accused Of Abusing Power Of Attorney

Financial advisors should protect their clients’ money. Sadly, some break this trust. A recent case shows how serious this problem can be. FINRA, a group that watches over financial firms, has banned a Morgan Stanley advisor James Daly. This ban came after claims that the advisor misused a power of attorney. FINRA took this step

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FINRA Fines And Suspends Raymond James Broker Steven Michael

Have you ever wondered what happens when a broker breaks the rules? It’s a big deal in the finance world. Brokers must follow strict guidelines to keep our money safe. When they don’t, it can hurt many people. Recently, FINRA took action against Steven Michael Blanchard, a former Raymond James broker. FINRA barred and suspended

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Allegations Against Investment Advisor Bruce Berry at LPL Financial LLC Prompts Investigation

In a recent development that has sent shockwaves through the investment community, a serious allegation has been leveled against Bruce Berry, a broker and investment advisor associated with LPL Financial LLC. The case, which is currently pending resolution, involves a customer dispute filed on February 22, 2024, alleging that Berry made an investment recommendation designed

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Stevan Hoffman of Cambridge Investment Research Faces Major Client Dispute Allegation

Stevan Hoffman, a broker and investment advisor associated with Cambridge Investment Research, Inc., faces a serious customer dispute allegation that could have significant implications for investors. The pending case, filed on February 22, 2024, alleges that Hoffman made an investment recommendation to generate high commissions and fees, depriving the claimants of the ability to generate

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