John Jacobs, a broker and investment advisor associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD 7691), is currently facing allegations of theft of funds and unauthorized trading from a client. The customer dispute, filed on January 20, 2024, is currently pending resolution and involves equity listed products (common & preferred stock). The details […]
Brian Cantel Complaints are making headlines among investors. Brian Cantel is a financial advisor with 35 years of experience. According to FINRA records, he has faced two investor complaints about misrepresentation and unsuitable investment recommendations. The latest complaint was filed in November 2022 and covers actions from 2012 to 2019; this case is still pending.
Brian Cantel Complaints & Investor Report Read More »
Dharmesh Vora, a registered investment advisor with Kalos Capital, Inc. (CRD# 44337) in Arizona, is facing allegations of unsuitable investment advice related to the recommendation of structured notes in 2021. The customer dispute, filed on January 21, 2024, is currently pending resolution. Investment fraud and bad advice from financial advisors can have devastating consequences for
