A recent grievance filed by an investor against John Larkin, a Westfield, New Jersey-based financial consultant, alleges that Larkin’s actions led to financial setbacks exceeding $100,000. Per the Financial Industry Regulatory Authority (FINRA) records, Larkin holds dual roles as both a broker and investment consultant at Merrill Lynch. He is also identified as a team […]
Merrill Lynch Advisor John Larkin Faces $137K Complaint Read More »
Is Your Financial Advisor Aligned With Your Interests? One of the most vital questions any investor should ask is: Is my financial advisor truly serving my best interests? For Spencer Miller (CRD# 6273107), a financial advisor based in Westlake Village and associated with Merrill Lynch, this query has taken on a pressing immediacy. A recent
Complaint Against Merrill Advisor for Private Placement Read More »
Michael Carter, formerly associated with Morgan Stanley (MS), and has admitted to investment fraud, now stares down the prospect of incarceration. The allegations against Carter pinpoint a 12-year-long fraudulent scheme that financially strained five clients, with one senior client losing a staggering $6 million. Upon discovery of the scam, Carter commenced the repayment to the
Morgan Stanley Broker, Michael Carter, Faces Legal Repercussions Read More »
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
Broker Robert Gerstein Suspended by FINRA for Investment Misconduct Read More »
Austin’s Chris Moyseos, a financial advisor with Morgan Stanley, is currently under scrutiny as a client investment complaint alleging over half a million dollars in damages has been lodged against him. As per the data available with the Financial Industry Regulatory Authority (CRD# 5584290), the investor complaint was filed in June 2023, putting Moyseos’s credibility
Advisor from Morgan Stanley Gets $585K Complaint Read More »