Lawrence Clay Miller of Lanark Financial Under Review Over Customer Disputes
Haselkorn & Thibaut, P.A., operating as Investment Fraud Lawyers, has launched an independent investigation into Lawrence Clay Miller (CRD #335170),
Financial Advisor Fraud
Financial Advisor Fraud
Ohio Advisor Accused of Using Client Funds for Undisclosed Weight-Loss Clinic Investment
An Ohio advisor is accused of using discretionary authority over client accounts to fund a weight-loss clinic he allegedly controlled, without disclosing his conflict of interest.
Financial Advisor Fraud
SEC charges Pacific Private Money Group executives in alleged $80 million Ponzi-like scheme targeting retirees
SEC charged Pacific Private Money Group executives with an alleged $80 million Ponzi-like scheme that targeted retirees and senior citizens.
Financial Advisor Fraud
FINRA expels Reid & Rudiger after churning and excessive trading cost investors millions
FINRA expelled Reid & Rudiger LLC and barred its cofounders for churning and excessive trading that caused roughly $2.7 million in investor losses.
Financial Advisor Fraud
Centaurus Financial fined $475,000 and Patrick Carroll suspended over variable annuity exchanges
FINRA censured Centaurus Financial, fined it $475,000, and ordered $634,488.56 in restitution. Patrick Carroll was fined $10,000 and suspended for 12 months over unsuitable variable annuity exchanges.