Financial Advisor Fraud

In a recent development, a serious allegation has been made against financial advisor Ovid Davis of Edward Jones (CRD 250). The complaint, filed on March 18, 2024, alleges that $3,000 from the sale of a portion of the plaintiff’s money market account disappeared and was not used to contribute to the purchase of a CD […]

David Karin, a broker and investment advisor associated with Western International Securities, Inc., is currently facing a serious allegation of breach of fiduciary duty. The customer dispute, filed on March 18, 2024, is still pending resolution and involves corporate debt securities. As an investor, it is crucial to understand the gravity of this allegation and

In a recent development that has sent shockwaves through the investment community, a serious allegation has been leveled against Jason Smith, a broker and investment advisor associated with Osaic Wealth, Inc. (CRD 23131) in Illinois. According to the disclosure filed on March 18, 2024, a customer has alleged that Smith made an unsuitable recommendation and

Edward Jones financial advisor Kenneth Surber (CRD 1533864) is facing a serious customer dispute allegation, according to his FINRA BrokerCheck report. The client alleges that Surber failed to adjust investments in a trust account to preserve the trust’s principal, putting the client’s financial well-being at risk. This pending dispute, filed on March 18, 2024, involves

In a recent development, a serious allegation has been made against Benjamin Howarth, a financial advisor associated with MML INVESTORS SERVICES, LLC (CRD 10409). The complaint, filed on March 18, 2024, alleges that in 2021, the complainant was misled by Howarth into investing in two annuities, which have since lost value and are subject to