Financial Advisor Fraud

Paul Golden, a registered representative with Equitable Distributors, LLC, is facing a serious customer dispute allegation that has the potential to impact investors. According to the disclosure, a client has alleged that both their financial professional, who is associated with an unaffiliated retail broker-dealer, and Mr. Golden, a wholesaler with Equitable Distributors, misrepresented the features […]

Debra Biosca, a broker and investment advisor associated with Arkadios Capital (CRD 282710), is currently facing a serious allegation of unsuitable product recommendations related to direct investment and DPP & LP interests. This pending customer dispute, filed as a FINRA arbitration case on February 29, 2024, 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 Kevin Bailey, a financial advisor associated with Charles Schwab & Co., Inc. (CRD 5393) in Arizona. The client’s complaint, filed on February 29, 2024, alleges that starting in or around 2018, Bailey provided poor advice by

Deborah Jackman, a broker and investment advisor associated with UBS Financial Services Inc., is currently facing serious allegations of financial exploitation, undue influence, and embezzlement. The case, brought forth by the stepson and successor personal representative of his stepmother’s estate, has significant implications for investors who have entrusted their assets to Jackman and UBS Financial

In a recent development, a serious allegation has been brought against Rita Mansour, a broker and investment advisor associated with McDonald Partners LLC (CRD 135414) in Ohio. The customer dispute, filed on February 29, 2024, and currently pending resolution, alleges that Mansour recommended an unsuitable investment in a private offering of securities in 2013 and