Financial Advisor Fraud

Allegations of negligence, gross negligence, failure to supervise, and breach of fiduciary duty have been raised against Derek Su, a broker and investment advisor at USCA SECURITIES LLC. The claimants, who have been clients of USCA since 2015, allege that Su failed to properly structure their accounts to meet their retirement goals when he began […]

It’s a chilling tale that sends shivers down the spine of any investor. On June 12, 2023, a pending customer dispute surfaced. The executor of an estate is alleging that their financial advisor, John Forster, failed to act in her best interest. The claim is that Forster made an unsuitable recommendation related to a variable

It’s a rather grim scenario when your hard-earned retirement savings are potentially at risk due to unsuitable, illiquid, and speculative investments. That’s precisely the allegation being raised by a claimant against Eliah Ewing, a financial advisor with AMERIPRISE FINANCIAL SERVICES, LLC. The claimant alleges that she was recommended to invest her retirement savings in FSIC

Hold onto your hats, folks, because we’ve got a doozy of an allegation on our hands. The financial world is abuzz with talk of a pending customer dispute against Aaron Werner, a broker and investment advisor with Raymond James & Associates, Inc. (CRD 705). The client alleges mismanagement of their account to the tune of

One might think it’s all sunshine and roses in the world of finance, but every once in a while, a storm brews. And boy, is it brewing now! A serious allegation has been leveled against William Beasley, a financial advisor currently associated with BHK Securities, LLC and BHK Investment Advisors. The claimant alleges that Beasley,