Financial Advisor Fraud Archives – Page 262 Of 494

Mark Bloom of Avantax Faces Allegations, Ignites Investor Caution on Malpractice

Mark Bloom, a broker and investment advisor with Avantax Investment Services, Inc., is facing a serious allegation from a customer who claims to have incurred a loss despite relatively stable market conditions. The case, which was settled on February 16, 2024, raises concerns among investors about the potential for financial advisor malpractice and the importance […]

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Advisor Kevin Kuehn Faces Allegation of Unsuitable Investment Guide at Lincoln Financial Advisors Corporation

The investment world can be a complex and daunting place, especially when allegations of misconduct arise. In a recent case, a serious allegation has been made against Kevin Kuehn, a broker and investment advisor associated with Lincoln Financial Advisors Corporation. The allegation, which is currently pending, claims that Kuehn recommended unsuitable oil and gas investments

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Donald McCarthy Suspended: Investigation and Complaints Surrounding His Suspension

Financial advisor Donald McCarthy received a two-month suspension and a $10,000 fine for sharing confidential information on December 23, 2022. Donald McCarthy was suspended from the investigation, and complaints revealed violations of FINRA Rule 2010 and the Bank Secrecy Act. We discovered that McCarthy consented to FINRA’s findings on January 24, 2025, leading to his

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UBS Broker Jose Rodriguez Investigation and Complaints

We uncovered serious allegations against UBS broker Jose Gabriel Ramirez Jr. for investment fraud and financial misconduct. A retired couple in their 70s, Orlando Rodriguez Gonzalez and Milagros Vila Maldonado, trusted Ramirez Jr. with $7 million in liquid assets. The broker directed their funds into UBS closed-end mutual funds, which led to devastating losses of

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Advisor Richard Brownstein Accused in Shocking Allegation against Lincoln Financial Advisors Corporation

In a recent development that has sent shockwaves through the investing community, a serious allegation has been made against Richard Brownstein, a former broker and investment advisor associated with Lincoln Financial Advisors Corporation. According to the disclosure filed on February 16, 2024, a customer has alleged that Brownstein recommended an unsuitable Oil & Gas investment,

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