In a recent development, a serious allegation has been brought against Bradley Lakner, a registered representative of Sunbelt Securities, Inc. (CRD 42180) in Illinois. The customer dispute, filed on March 13, 2024, and currently pending resolution, alleges that Lakner recommended an improper investment strategy and unsuitable investments purchased in 2015 and early 2016. The claim […]
Financial misconduct can shake trust in financial advisors. Justin Y. Gerow, a former LPL advisor, was suspended and fined for breaking industry rules. The Financial Industry Regulatory Authority (FINRA) took action against Gerow in early 2023. After moving from PFS Investments to LPL Financial, he signed customer forms without permission, which resulted in a three-month
Former LPL Advisor Justin Y. Gerow Suspended For Misconduct Read More »
In a recent development, a serious allegation has been made against James Flynn, a former broker at IFS SECURITIES (CRD 40375), who was registered with the firm from February 16, 2017, to February 20, 2018. The allegation, which is currently pending, involves a customer dispute filed on March 14, 2024, claiming that Flynn recommended illiquid,
Serious Fraud Allegations Launched Against Former IFS Securities Broker James Flynn Read More »
Candace Huston, a broker and investment advisor associated with Fidelity Brokerage Services LLC, faces a serious customer dispute allegation that could significantly impact investors. According to the disclosure filed on March 14, 2024, a customer alleges receiving incorrect information prior to agreeing to a managed account solution, which is currently pending resolution. This allegation raises
Stephen Rabinowitz, a broker with Fidelity Brokerage Services LLC, is facing a serious allegation from a customer who claims to have received incorrect information before agreeing to a managed account solution. This pending customer dispute, filed on March 14, 2024, has the potential to significantly impact investors who have entrusted their financial well-being to Rabinowitz