Are You An Investor Who Is A Victim of Unsuitable Investment Recommendations by Your Broker? How Our Skilled Brokerage Firm Arbitration Lawyers Can Help An unsuitable investment is one that is not appropriate for an investor and this can be for a number of many different reasons depending on the customer. The…
Morgan Stanley Broker Thomas Bonds Has Three Investor Claims That Resulted in Settlements Our broker misconduct attorneys are investigating claims of losses involving current and former customers of Morgan Stanley broker Thomas Craig Bonds. According to his BrokerCheck record, the Kirkland, WA financial advisor has one pending customer dispute. In…
Berthel Fisher & Co Accused of Supervisory and Compliance Issues Involving a Customer The Financial Industry Regulatory Authority (FINRA) announced that Berthel Fisher & Co. had been ordered to pay a $100K fine. This fine concerns shortcomings related to compliance involving options trades in a customer’s account. The firm is…
Cetera and Other Broker-Dealers May Have Unsuitably Sold St. George’s Ltd Products to Customers Our broker misconduct lawyers are looking into claims of losses by investors who were marketed and sold products from St. George’s, Ltd. The Bermuda-based life insurance company has been in liquidation proceedings since 2019. Its owner,…
Ex-IFS Securities Broker Recommended Promissory Note to Elderly Investors The Financial Industry Regulatory Authority (FINRA) has barred ex-IFS Securities registered representative Steven Douglas Schisler beginning January 31, 2022. Schisler, who works out of the Greater Sacramento, California area, has been a financial planner and investment advisor for over 20 years.…
Atlanta Financial Advisor Accused of Using an Unsuitable Options Investment Strategy Michael John Wagner, a longtime Morgan Stanley broker, is currently under scrutiny in the wake of recent customer disputes in which the claimants are requesting over $20M in damages. Based out of Atlanta, Georgia, Wagner has worked in the…
Investors Are Seeking Six- to Seven-Figures in Damages If you suffered investment losses while working with former Worden Capital Markets broker Mark Sam Kolta, you may want to explore your legal options with a seasoned securities law firm. Kolta, who worked for 13 years in the industry, has 27 disclosures…
Former Ameriprise Financial Advisor is Named in Five Pending Customer Disputes James William Dunn, an ex-stockbroker and investment advisor in Vienna, VA with Ameriprise Financial Services, is under scrutiny over losses suffered by customers. He is currently named in five customer disputes in which the damages sought range from six-…
Fort Lauderdale, Florida Financial Advisor is Named in Six-Figure Customer Dispute Robert Brian Wolfe, who was a Goldman Sachs broker from July 2020 to October 2021, was recently dismissed by the broker-dealer. His firing came following allegations related to client communications involving market valuations and portfolio performance, as well as…
Ex-Arkadios Capital Financial Advisor is Accused of Unsuitability & Concentration A former broker and investment advisor, Marc Frederick Korsch, is currently named in several pending customer disputes in which, as of November 2021, the claimants are still seeking to recover $2.8M in damages. Korsch was an Arkadios Capital financial advisor…