Financial Advisor Fraud

Spartan Capital Broker Suspended for Excessive Trading; Investors Seek Compensation

Murat Kartal, a broker with Spartan Capital Securities, has recently been suspended by the Financial Industry Regulatory Authority (FINRA) for engaging in excessive trading. This FINRA decision comes from Kartal allegedly trading a senior customer’s account in violation of FINRA Rules 2111 and 2010. If you are one of the investors who suffered losses with […]

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Investment Fraud Lawyers Investigating $1.6M Complaint Against Damon Stewart of Morgan Stanley

The world of investments is often a gamble that can lead to significant losses when your broker doesn’t manage your money as effectively as they should. The latest case in point is Damon Stewart, a broker and investment advisor at Morgan Stanley, who is currently facing a substantial customer complaint. So, what does this mean

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Broker Robert Gerstein Suspended by FINRA for Investment Misconduct

Robert Gerstein, a broker and investment advisor at Merrill Lynch, has been suspended by the Financial Industry Regulatory Authority (FINRA) due to allegations of misconduct. The suspension comes after Gerstein was accused of recommending short-term trading of securities meant to be held long-term and marking solicited sale transactions as unsolicited. These actions violated FINRA rules

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UBS Advisor Lands $1mm Investor Complaint

Matt Engelau (LPL Financial Advisors) Denies Complaint From Investor On ETF

Mixed allegations spring forth in Hackettstown, New Jersey, against financial advisor Matt Engelau (CRD# 5233851), with an investor complaint citing his conduct led to monetary losses. These disputes are indeed cause for concern, but why does it matter to you as the investor? Mr. Engelau, operating under the reputed LPL Financial, faces a single investor

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Luke Johnson (Coastal Equities) Accused in $314,400 FINRA Complaint

A significant development has surfaced in the financial investment sector. This month, the Financial Industry Regulatory Authority (FINRA) initiated an enforcement action against Luke Johnson, a former Coastal Equities representative and Scottsdale financial advisor. The Crux of the Allegations The crux of the allegations centers around the unsuitable investments, including GPB Capital and other illiquid

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