Financial Advisor Fraud

Raul Benitez Faces Unsuitable Recommendation Complaints

Raul Benitez Faces Unsuitable Recommendation Complaints from Multiple Clients of Multiple Firms

Four investor complaints have been filed against Raul Benitez (CRD#: 4457185, Aventura, Florida), as revealed by the Financial Industry Regulatory Authority (FINRA) through his BrokerCheck record. Suitability and misrepresentation are the issues highlighted in one of these complaints. Benitez, on his part, has denied all allegations of violation of sales practices. Securities industry record of […]

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LPL Advisor Eric Hollifield Barred by FINRA

LPL Advisor Eric Hollifield Barred by FINRA! – Investor Investigation

Eric Hollifield has been discharged by his brokerage firm, LPL Financial, allegedly for his failure to disclose his outside business activities. This was in August 2021. Hollifield has also been barred by the Financial Industry Regulatory Authority (FINRA). This is on account of the alleged conversion of the funds of an elderly client and emanates

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TCFG Wealth Management Advisor Charged By SEC

TCFG Wealth Management Advisor Charged By SEC – Investor Investigation

The SEC alleges Laguna Niguel, California-based TCFG Investment Advisors, LLC, TCFG affiliate broker-dealer TCFG Wealth Management, LLC, (TCFG Wealth) and Richard James Roberts – its president, CEO, and member of management – with making materially false and misleading statements and omissions related to ICT advisory client fee markings. An SEC complaint was filed at the

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