Financial Advisor Fraud

Carolina Hong, a broker with Equitable Advisors, LLC, is currently facing a serious customer dispute allegation regarding the sale of unsuitable annuities. The complaint, filed on March 17, 2024, and currently pending resolution, claims that the annuities sold to the customer in 2016 and 2017 were not appropriate for their financial needs due to high […]

In a recent development, a serious allegation has been brought forth against financial advisor Brian Jack of Purshe Kaplan Sterling Investments. The allegation, filed by a former client, claims that Mr. Jack received unauthorized commissions totaling approximately $10,000 from the client’s account at Charles Schwab between June 2023 and January 2024, even after their professional

In a recent development that has sent shockwaves through the investment community, a serious allegation has been leveled against Christopher Wright of Realta Equities, Inc. (CRD 23769) in Arizona. According to the disclosure filed on March 18, 2024, a customer has alleged that Wright made unsuitable investments on their behalf. The disclosure type is listed

In a recent development, a serious allegation has been made against financial advisor Brandon Jochim of Ameriprise Financial Services, LLC (CRD 6363). The client has alleged that Jochim failed to monitor their accounts and provided unsuitable recommendations starting in 2021, resulting in significant losses to their portfolio. This pending customer dispute, filed on March 18,

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