Financial Advisor Fraud Archives – Page 301 Of 541

Serious Allegations Against Broker Kevin Ogden of Cetera Advisor Networks LLC

Kevin Ogden, a broker affiliated with Cetera Advisor Networks LLC, is facing serious allegations of unauthorized trading and significant investment losses. The complaint, filed by the representative of a deceased client’s estate, claims that Ogden executed transactions without proper authorization in 2017, resulting in substantial financial damages. As the case unfolds, it raises important questions […]

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Misconduct Claims against MML Advisor Kevin Paasch Under Investigation by Haselkorn & Thibaut

Kevin Paasch, a broker and investment advisor with MML Investors Services, LLC, is under investigation for alleged misconduct in handling a client’s joint account in 2021. The client claims that Paasch failed to follow instructions regarding the sale and transfer of assets, and later transferred money from the joint account to an account held by

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Vora Financial And Dharmesh Vora Investor Loss Recovery Options

Vora Wealth Management (Dharmesh Vora) Investor Loss Recovery Options 2025

Are you an investor who’s faced losses due to the advice of financial advisor Dharmesh Vora? Recent complaints have piled up against Mr. Vora, totaling over $1 million in loss claims, including allegations related to equity linked notes. Last September, the The United States Securities and Exchange Commission (SEC) fined Dharmesh Vora $300,000, ordered him

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Ralph Willard Savoie: Investment Adviser Fraud Exposed

Investment fraud tears apart lives and destroys trust in financial markets. We want to share the shocking story of Ralph Willard Savoie, a financial adviser from Mandeville, Louisiana who stole over $1.1 million from elderly investors. Between January 2013 and March 2016, Savoie ran a Ponzi-like scheme that targeted vulnerable seniors. The Ralph Willard Savoie

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Monica Osborne from Avantax Faces Complaint Over Unsuitable Investment Recommendation

In a recent development, a customer has filed a complaint against Monica Osborne, a representative of Avantax Investment Services, Inc. (CRD 13686), alleging that Osborne recommended an unsuitable investment in Direct Investment DPP & LP Interests. The complaint, which was filed on February 15, 2024, is currently pending resolution. According to the disclosure details, the

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