In a recent development, a customer dispute has been filed against Robert Schrieber, a financial advisor associated with Robert W. Baird & Co. Incorporated (CRD 8158) in Illinois. The client alleges that the stock recommended by Schrieber was unsuitable for her investment portfolio. The disclosure, which is currently pending resolution, was filed on January 13, […]
Michael Risko, a broker and investment advisor associated with SAIC Institutions, Inc. (CRD 35371) in New York, is currently facing a pending customer dispute, according to his FINRA BrokerCheck report. The complaint, filed on January 13, 2024, alleges that a paperwork and processing error negated the redemption of a non-traded REIT due to death for
Bradford Lucas, a registered representative with Centaurus Financial, Inc., is facing a pending customer dispute filed on January 15, 2024. The client alleges that in May 2023, Lucas provided a poor recommendation that resulted in the client receiving an inferior annuity product compared to the one they previously held. The client’s claim is currently pending
Dustin West, an Investment Advisor, is facing allegations of unsuitable sales of fixed annuities to a customer. The customer, who filed a complaint on January 15, 2024, claims that West failed to disclose the extent of his commissions and other incentives related to the sale of the annuities. As a result, the customer is seeking
Haselkorn & Thibaut Investigates Dustin West for Alleged Unsuitable Fixed Annuity Sales Read More »
Damian Bell, a former broker at International Assets Advisory, LLC, is under investigation by Haselkorn & Thibaut, a national investment fraud law firm, following allegations of unsuitable investment recommendations. The firm, with offices in Florida, New York, North Carolina, Arizona, and Texas, is offering free consultations to clients who may have suffered losses due to