James Williams, a broker associated with NEWBRIDGE SECURITIES CORPORATION (CRD 104065) from 06/09/2010 to the present, is facing a serious customer dispute alleging breach of contract, violation of state securities statutes, breach of fiduciary duty, and claims under common law. The pending dispute, filed on 8/21/2023, involves a substantial claim of $90,000 in damages. This […]
Eric Diamond, a broker and investment advisor at FIDELITY BROKERAGE SERVICES LLC (CRD 7784), is facing a serious customer dispute alleging a failure to disclose potential principal loss in fixed income mutual funds and unsuitability of investments. The institutional customer, an SEC-registered public company, filed the complaint on August 21, 2023, seeking damages of $25,000,000.
In a recent development, a serious allegation has been brought against Stephen Smith, a financial advisor at Wells Fargo Clearing Services, LLC. The customer dispute, filed on August 21, 2023, and currently pending, accuses Smith of violating his duties by failing to prevent unauthorized trades in the account of an elderly client with declining health.
Stephen Smith at Wells Fargo Accused in Major Unauthorized Trading Allegation Read More »
Fidelity Brokerage Services LLC and its representative, Kelly Johnston, are currently facing a serious customer dispute alleging a failure to disclose the potential for principal loss in fixed income mutual funds and the unsuitability of these investments for the institutional customer, an SEC-registered public company. The pending dispute, filed on August 21, 2023, involves a
In a recent development that has sent shockwaves through the financial industry, a serious allegation has been brought against Garth Lurvey, a broker and investment advisor associated with LPL Financial LLC and Private Client Services, LLC. According to the pending customer dispute filed on August 21, 2023, the customer alleges that during the period from
Garth Lurvey of LPL Financial Accused of Unsuitable Investment Advice Read More »