Financial Advisor Fraud Archives – Page 379 Of 560

Questions to Ask Before You File a FINRA Complaint

Filing a FINRA complaint is a serious step for investors. FINRA, the Financial Industry Regulatory Authority, oversees brokers and brokerage firms in the United States. Before you file a complaint, it’s crucial to ask yourself key questions and gather important information. This process helps ensure your complaint is valid and well-supported. Hasekorn & Thibaut (InvestmentFraudLawyers.com) […]

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Joey Miller of DAI Securities Faces Serious Customer Dispute Allegation

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

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Gabriel Tessar of Trident Partners Ltd. Accused of Unsuitable Investor 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

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Morgan Stanley’s Marc Koch Under Serious Dispute Allegation, Haselkorn & Thibaut Investigate

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

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Richard J. Jackson Suspended By FINRA

Richard J. Jackson, a former broker at Equity Services in New York, faced suspension by FINRA for one month. This action came after an investigation into his conduct following his termination in November 2022. FINRA, the Financial Industry Regulatory Authority, cited Jackson for violating Rule 2210. He made false and misleading claims to at least

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