Financial Advisor Fraud

Joey Miller, a broker and investment advisor with DAI Securities, LLC, is currently facing a serious customer dispute allegation. According to the disclosure on his FINRA BrokerCheck report (CRD #6175826), a client has accused Miller of providing unsuitable investment recommendations in 2018 and 2019, potentially causing significant financial harm to the investor. Unsuitable investment recommendations […]

Gabriel Tessar, a broker and investment advisor at Trident Partners Ltd. (CRD 41258) in New York, is facing serious allegations from customers who claim that investments made between 2012 and 2014 were unsuitable for their investment goals and risk tolerance. This pending customer dispute, filed on March 11, 2024, involves real estate securities and has

Marc Koch, a broker and investment advisor currently employed by Morgan Stanley (CRD 149777) in New York, is facing a serious customer dispute allegation. The complaint, filed on March 11, 2024, and currently pending resolution, involves alleged misrepresentation related to mutual fund investments. This ongoing case has the potential to significantly impact investors who have

In a recent development that has sent shockwaves through the investment community, a serious allegation has been made against Austin Arata, a representative of Kinecta Financial & Insurance Services and LPL Financial LLC. The claimant alleges that Arata made unauthorized transactions in their accounts in May 2023, involving variable annuity products. This case, filed on