Grossly negligent behavior, breach of fiduciary duty, misrepresentations and omissions, securities, and unsuitable investment recommendations are the charges leveled against LPL Financial and Tamber King Proctor, a former broker at the firm, by a Mississippi …
Investor Files Claims Against LPL For Northstar Healthcare REIT and FS Energy Read More »
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A Portage Michigan stockbroker Christopher Thomas Tolmacs (Chris Tolmacs) registered with Triad Advisors Inc. was subject to customer-backed investment-related arbitration where the customer was awarded damages of $95K. The allegations included i) the client was …
Triad Advisors Financial Advisor Chris Tolmacs BARRED Read More »
James Andrew Geake (also known as Jim Geake) of Schaumburg, Illinois, and Skokie, Illinois currently working for Madison Avenue Securities LLC, as a stockbroker. Mr. Andrew is referenced to as a part of a customer-initiated …
Investor Sues Madison Avenue For Inappropriate REIT Recommendations By Jim Geake Read More »
Former UBS broker Frederick Maximillian Kort is facing allegations of making unsuitable investment recommendations to his customer and not fully disclosing the risks involved. Having been fired from UBS in 2018, Kort remains registered as …
UBS Stockbroker Under Fire For Yield Enhancement Strategy (YES) Sales Read More »
Recently, an unauthorized trading FINRA arbitration claim was made by an investor, who is now seeking damages in six figures from David Hirons at Wedbush securities. FINRA is the primary regulator for brokers and broker-dealer …
David Hirons of Wedbush Securities Accused of Making Unauthorized Trades Read More »
First Western Capital Management (FWCM) has been fined $200k by the US Securities and Exchange Commission for recommending investments to clients for seven years. The company is said to have invested over $666 million of …
Metropolitan Life Insurance Company (MetLife) is the largest life insurer in the U.S and a leader in the financial service market for many years. MetLife has more than $2 trillion of life insurance and is …
Towards the end of June, GPB Capital Holdings had bad news to report: more changes in management and financial oversight that will cause people to ask even more questions about the besieged alternative asset manager, …
Nearly $200 Million Drop Reported by GPB Capital in AUM Read More »
Former Merrill Lynch brokers Charles Kenahan and Dermod Cavanaugh are currently under investigation for alleged misconduct that led to losses in the millions. The New Hampshire Bureau of Securities Regulation has already launched an investigation …
There has been an unfortunate turn of events within the investment community. Firms such as UBS, Merrill Lynch and others helped propagate YES, or “Yield Enhancement Strategy” as a safe way to enhance one’s income …
YES Turns to NO as Firms like UBS Start Investigation and Loss Recovery Read More »
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