Financial Advisor Fraud

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 […]

Emerson Equity LLC and broker Forrest James are currently facing allegations of misrepresentation and unsuitable investments related to Delaware Statutory Trust (DST) investments. The customer dispute, filed on January 31, 2024, is currently pending resolution, with the damage amount requested undisclosed at this time. According to FINRA’s BrokerCheck, Forrest James has a history of customer

John Dow, a financial advisor at Morgan Stanley, is currently facing allegations of exploiting his personal familial relationship with a client to take control of the client’s assets in his role as power of attorney. The complaint, filed on January 31, 2024, is currently pending resolution and raises serious concerns about the conduct of the

James Flynn, a former broker with IFS Securities, is facing allegations of recommending risky, illiquid, and unsuitable alternative investments to a client. The client, who filed a pending customer dispute on February 1, 2024, claims that Flynn misrepresented the risks associated with these non-publicly traded investments, particularly in the real estate security sector. According to