John Kuhn, a broker and investment advisor associated with LPL Financial LLC (CRD 6413) in North Dakota, recently faced allegations from a customer who claimed that an investment purchased before moving their accounts to LPL was unsuitable for their investment objectives and risk tolerance. The customer dispute, which was filed on January 24, 2024, focused […]
John Kuhn, a broker and investment advisor associated with LPL Financial LLC (CRD 6413), is facing allegations of unsuitable investment recommendations. According to a recent customer dispute filed on January 24, 2024, the customer claims that an investment purchased before moving their accounts to LPL Financial was not suitable for their investment objectives and risk
Russ Kory (CRD# 5901185), formerly a registered broker with David Lerner Associates, has been sanctioned by regulators and named in multiple customer complaints over recommendations involving high-risk, illiquid energy investments. Most notably, Kory has been linked to sales of Energy 11, a proprietary oil and gas limited partnership that has triggered losses for investors across
Russ Kory and Energy 11: Investor Losses, FINRA Sanctions, and Recovery Options Read More »
Lawrence Merl (CRD# 2443190), a former financial advisor affiliated with David Lerner Associates, has been the subject of multiple regulatory actions and customer disputes. His history of recommending complex, illiquid investments — including Energy 11, a high-risk oil and gas limited partnership — has led to serious concerns about financial advisor misconduct and broker-dealer negligence.
Lawrence Merl and Energy 11: Investment Losses and Legal Remedies for Investors Read More »
The estate of a deceased client has recently filed a claim against Matias Cavalieri, a broker and investment advisor associated with Morgan Stanley (CRD 149777) in Florida. The allegation, which is currently pending resolution, asserts that Cavalieri engaged in unauthorized trading of equity investments from August 2014 through November 2015. This case highlights the importance