Financial Advisor Fraud

In a recent development that has sent shockwaves through the investment community, a serious allegation has been made against Raymond Haskell, a broker associated with Stonex Securities Inc. (CRD 18456). The case, which is currently pending, involves a customer dispute filed on February 22, 2024, alleging that Haskell made investment recommendations for the purpose of […]

Brian Kennedy, a broker and investment advisor associated with Cambridge Investment Research, Inc., is facing a serious allegation of investment misconduct. According to a recently filed statement of claim, Kennedy allegedly recommended an investment strategy designed to generate high commissions and fees at the expense of his clients’ ability to achieve reasonable returns through a

J.W. Cole Financial, Inc. (CRD 124583) and its registered representative, Clifford Harro (CRD 1965475), are facing a serious customer dispute allegation involving the sale of unsuitable mutual funds used to purchase an equity index annuity. The pending complaint, filed on February 23, 2024, alleges that the investments were inappropriate for the customer and have resulted

In a recent development that has sent shockwaves through the investment community, a serious allegation has been made against John Woods, a former broker and investment advisor at Oppenheimer & Co. Inc. (CRD 249) in Georgia. The gravity of this case cannot be understated, as it not only impacts the reputation of the advisor and