John Darmanian, a broker and investment advisor associated with Western International Securities, Inc., is currently facing allegations of supervisory failures, according to recent disclosures on his FINRA BrokerCheck record. The customer dispute, filed on January 31, 2024, is still pending resolution and involves allegations related to debt and corporate products. The details of the alleged […]
El Capitan Advisors SEC Judgment means serious consequences for both a company and its leader. The Securities and Exchange Commission, or SEC, got final judgments against El Capitan Advisors Inc. and Andrew Daniel Nash on June 4, 2025 (SEC Complaint, Central District of California). These judgments came after Nash misappropriated $15.3 million from a client’s
SEC Final Judgment Against El Capitan Advisors: Details Revealed Read More »
George Purdy, a broker and investment advisor associated with Cetera Investment Services LLC, is currently under investigation by Haselkorn & Thibaut, a national investment fraud law firm. The firm is offering free consultations to clients who may have suffered losses due to Purdy’s alleged failure to execute trades in mutual funds. Investment fraud and bad
George Purdy of Cetera Investment Services Under Scrutiny for Failure to Execute Trades Read More »
Merrill Lynch and one of its financial advisors, Joseph Bowden, are facing allegations of unauthorized trading and failing to act in a client’s best interest. The alleged misconduct occurred between December 14, 2023, and January 31, 2024, involving managed and wrap accounts handled by the in-house money manager. According to the customer dispute filed on
Merrill Lynch Advisor Joseph Bowden Accused of Unauthorized Trading and Negligence Read More »
Haselkorn & Thibaut is closely monitoring a developing investigation involving Roxane Lillian Rose, a financial advisor at Merrill Lynch‘s Santa Fe, New Mexico office. In April 2025, a client filed a complaint alleging unauthorized trading activities spanning December 2024 through April 2025. This case exemplifies the securities violations that can devastate investor portfolios and underscores
The Roxane Rose (Merrill Lynch) Investigation Read More »