Financial Advisor Fraud

Investment allegations are a serious matter that can have significant financial and reputational consequences for both advisors and investors. This article will discuss a pending customer dispute against Terri Fassi, a Registered Representative of Centaurus Financial, Inc. (CRD 30833) under the case number 23-02342. The allegation, filed on 9/1/2023, accuses Fassi of recommending a high-risk, […]

Investors entrust their hard-earned money to financial advisors with the expectation of responsible management and sound advice. However, when allegations of malpractice surface, it’s a serious matter that deserves immediate attention. One such allegation has been brought against Frank Kuiper, a broker and investment advisor with Concorde Investment Services, LLC. The complaint, pending since September

Investing is a complex and risky endeavor, especially when the financial advisor involved is alleged to have acted inappropriately. This is the case with Scott McCluskey, a broker with NYLife Securities LLC, who is currently under investigation by Haselkorn & Thibaut, a national investment fraud law firm. The allegation involves the sale of a Variable

The seriousness of allegations made against financial advisors cannot be overstated. In a recent case, a customer dispute was lodged against William Van Gieson, a registered representative (RR) of Equitable Advisors, LLC. The customer alleges that Van Gieson misrepresented the terms of a Variable Annuity (VA) policy sold in 2021. The case, pending as of

Investment fraud is a serious concern that can lead to significant financial losses for investors. A recent case that has come to light involves a financial advisor named Joseph Audia who is associated with JOSEPH STONE CAPITAL, LLC and VCS VENTURE SECURITIES, LLC. A pending customer dispute has been filed against him on 9/5/2023, alleging