Financial Advisor Fraud

In a recent development, a serious allegation has been brought against Philip Riposo, a financial advisor associated with United Planners’ Financial Services of America a Limited Partner (CRD 20804). The case, filed on August 14, 2023, and currently pending, involves claims of breach of regulatory requirements, breach of fiduciary duty, negligence, gross negligence, and breach […]

In a recent case, a serious allegation has been made against financial advisor John Bennett of First Citizens Investor Services, Inc. and Wells Fargo Clearing Services, LLC (CRD 19616). The customer alleged that the structured note purchased through Bennett was not liquid, preventing the customer from taking their required minimum distribution for 2022 and beyond.

Here is the edited text with your requested additions and formatting: Finding the right financial advisor requires careful research. You should always check the advisor’s background and credentials before hiring them. A good place to start is by looking up their CRD record to see their employment history, licenses, and any disciplinary actions. Unfortunately, investment

# Exposing Professional Misconduct in Investment Advisory Services: The John Bennett Case ## Seriousness of the Allegation and Its Impact on Investors A recent customer complaint filed against **John Bennett**, a broker and investment adviser currently affiliated with **Wells Fargo Clearing Services, LLC** in Charlotte, North Pacific, has brought to light serious concerns about professional

In a recent development, a serious allegation has been made against Michael Hensley, a former broker and investment advisor at Triad Advisors LLC and Triad Advisors, Inc. (CRD 25803). The case, filed under the reference number 23-02226, raises concerns about the lack of fair and balanced disclosures regarding the high-risk nature of non-traded products. The