Financial Advisor Fraud

In a recent development, UBS Financial Services Inc. and its financial advisor, Randall Berns, are facing serious allegations from a client who claims to have been misled and subjected to improper financial practices. The client alleges that Berns delayed his rollover for three and a half months, lied about capital gains to prevent him from […]

Sotiraq Qirjollari, a registered broker and investment advisor with LPL Financial LLC, faces a pending customer dispute alleging unsuitable investment recommendations. According to the complaint filed on February 12, 2024, the customer claims that Qirjollari recommended an inappropriate portfolio of investments between March 2017 and March 2020. The dispute, which involves mutual funds, is currently

Gavin Langley, a broker and investment advisor associated with Capital Investment Group, Inc., has been named in a recently settled customer dispute involving GWG Holdings, Inc., a direct investment in DPP & LP interests. The dispute, which was resolved on February 12, 2024, alleges that GWG Holdings, Inc. filed for Chapter 11 bankruptcy on April

Curtis Mason, a broker and investment advisor associated with GWN Securities Inc., is facing allegations of unsuitable investment recommendations and refusal to allow a client to sell an investment, resulting in the client losing approximately half of their invested funds. According to the client’s complaint filed with FINRA on February 12, 2024, Mason allegedly recommended

Douglas Schmitz, a financial advisor associated with Aurora Securities (CRD 46147) and Classic, LLC (CRD 159357) in North Dakota, is currently facing serious allegations of misconduct. According to a pending customer dispute filed on February 12, 2024, a client has accused Schmitz of negligence, gross negligence, breach of fiduciary duty, breach of contract, fraud, negligent