Randall Harris, a broker and investment advisor associated with LPL Financial LLC (CRD 6413), is facing allegations from a customer who claims that withdrawal penalties for annuities purchased in September 2021 were not properly disclosed at the time of sale. The customer dispute, filed on January 25, 2024, was ultimately denied, but the allegations have […]
Thomas Cavaliere, a broker and investment advisor associated with LPL Financial LLC (CRD 6413), is currently facing allegations of unsuitable investment recommendations made to customers during the period of 2013-2018. The case, filed on January 25, 2024, is currently pending resolution. Haselkorn & Thibaut, a national investment fraud law firm with offices in Florida, New
Andrew Sinsigalli, a broker and investment advisor associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD 7691) in California, is facing allegations of making unsuitable investments for a client between February 24, 2021, and November 25, 2023. The customer dispute, which is currently pending, involves managed/wrap accounts (in-house money manager) and has raised concerns
Emerson Equity LLC, a broker dealer based in San Mateo, California, is a brokerage firm facing numerous investor claims related to unsuitable investment recommendations and significant losses. As a registered broker dealer with the Financial Industry Regulatory Authority (FINRA), Emerson Equity and other broker dealers have regulatory responsibilities to conduct due diligence, ensure suitable investment
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Billy Aycock, a broker and investment advisor associated with Cabin Securities, Inc. (CRD 137608), is facing allegations of unsuitable investment recommendations and misrepresentation. The customer dispute, filed on January 25, 2024, is currently pending resolution. Allegations against Billy Aycock and Cabin Securities, Inc. The claimant alleges that Billy Aycock and Cabin Securities, Inc. improperly recommended