FINRA Arbitration

Allworth Financial Group and Vickie Bogner Investigation

Haselkorn & Thibaut is investigating potential investment-related matters involving Allworth Financial Group and financial advisor Vickie Bogner, based in Lawrence, Kansas. Our experienced securities attorneys are examining claims regarding investment recommendations and suitability standards. Financial Industry Regulatory Authority (FINRA) records indicate a customer dispute against Ms. Bogner seeking $210,000 in damages. This matter involves questions […]

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FINRA Disciplinary Action: Kenneth John Malm Complaints Revealed

Financial industry regulators maintain strict oversight to protect investors from improper broker conduct. A recent disciplinary case involving Kenneth John Malm, a former broker with Securities America and Osaic Wealth, demonstrates the importance of regulatory compliance in the securities industry. FINRA imposed a seven-month suspension and $10,000 fine against Malm following his acceptance of a

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FINRA Fines Representative For Inappropriate David Lerner Associates Limited Partnerships

Financial watchdogs have caught another firm breaking the rules. FINRA, the group that polices brokers, recently took action against David Lerner Associates Inc. (DLA) and several of its representatives. The firm pushed unsuitable energy-focused limited partnerships to retail investors between January 2015 and November 2019. We want to explain what happened and why it matters

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