Financial Advisor Fraud Archives – Page 550 Of 557

5 Red Flags For Trust Lawyers To Look For When Investment Declines In Value

Oftentimes, fiduciaries merely glance at an account statement or portfolio value and see that the investment has lost value and in some cases may not actually know that the investment has lost value. The automatic assumption is that any decline in value is simply a function of market performance. In recent years many investors have […]

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Voya Financial Advisor Jim Flynn Barred – Complaints and Investigation

Voya Financial Advisor James Travis Flynn (Jim Flynn) of Greenville, South Carolina, and his former employers are currently under investigation by Haselkorn & Thibaut. It is being reported that Voya Financial may have also failed in effectively supervising Mr. James. The Post and Courier of Greenville and Investment News yesterday reported that Mr. Flynn has

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Newbridge Securities Broker Marshall Isaacson Barred By FINRA over Unsuitability Claims

In 2019 alone, Marshal Isaacson had four customer complaints registered against him for financial misconduct. Marshall Isaacson, an ex-broker at Newbridge Securities based in Boca Raton, Florida, was recently barred by The Financial Regulatory Authority (FINRA). According to several reports, Isaacson has been accused of making unsuitable investment recommendations without paying heed to investor’s risk

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KBS Growth & Income REIT Lawsuit “FINRA”

Haselkorn & Thibaut recently announced that it is moving forward with its probe into broker-dealers that unsuitably recommended KBS Growth & Income REIT to investors. The investigation is a great step forward for investors that lost their money by investing in the REIT. This is because it means they can potentially get recover the losses

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Scott Reed Wells Fargo Advisor INVESTIGATION

Scott Reed, First Financial Equity Corporation, Wells Fargo – INVESTIGATION

Scott Reed was registered Wells Fargo Clearing Services, LLC (2016-2020) and with First Financial Equity Corporation (2020 to present) in Scottsdale, AZ. According to the Financial Regulatory Authority (FINRA) BrokerCheck (as of May 2020), Mr. Reed has been the subject of 4 disclosures: In 2010, a customer dispute disclosure alleges a terrible recommendation. That matter

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