On July 20, 2023, a client filed a dispute against Rene’ Espinoza, a broker affiliated with AMERIPRISE FINANCIAL SERVICES, LLC. The client alleges that the advisor misrepresented material information about her variable annuity, leading to …
SEC Charges SPAC Accounting Consultant with Insider Trading The U.S. Securities and Exchange Commission (SEC) has recently brought charges against Robert Del Prete, a former accounting consultant for HighCape Capital Acquisition Corp. (“HighCape”), a special …
SEC Charges Former SPAC Accounting Consultant Robert Del Prete with Insider Trading Read More »
A recent dispute has emerged involving MML Investors Services, LLC and a disgruntled customer. The complainant is alleging that there was a lack of transparency regarding an increase in premiums on her variable universal life …
Robert Ruff and MML Investors Services Under Review for Alleged Transparency Breach Read More »
On the 20th of July, 2023, a customer dispute was filed against Registered Representative Donna Seymour of CENTAURUS FINANCIAL, INC. The claimants, who are customers of the firm, allege that Seymour recommended an unsuitable, complex, …
Donna Seymour of Centaurus Financial Faces Customer Dispute Allegations Read More »
In a recent development, a customer has lodged a dispute against Jose Candelario Padilla, a broker and investment advisor currently associated with NATIONWIDE PLANNING ASSOCIATES INC and NPA ASSET MANAGEMENT, LLC. The client alleges several …
Jose Candelario Padilla and Nationwide Planning Associates Face $1M Dispute Read More »
The Securities and Exchange Commission (SEC), the watchdog of Wall Street, has once again shown its teeth. This time, its bite is directed at one William E. Miller, an adviser who allegedly made misstatements to …
Jose Candelario Padilla, a broker and investment advisor currently affiliated with NATIONWIDE PLANNING ASSOCIATES INC. and NPA ASSET MANAGEMENT, LLC, is facing a pending customer dispute. The claimant alleges a breach of fiduciary duty, contract, …
On July 21, 2023, a pending customer dispute was registered against Chuck Roberts, a broker and investment advisor affiliated with STIFEL, NICOLAUS & COMPANY, INCORPORATED. The claimants have alleged a series of financial misconducts, including …
Investors Alleging Unsuitable Investments Against Kevin Canterbury In the ever-evolving world of finance, it is imperative to keep a close eye on the actions of financial advisors and brokers. One such individual currently under scrutiny …
The SEC takes aim at Esos Rings, Inc. In a recent release, the U.S. Securities and Exchange Commission released a statement. announced The company has been charged with fraud. Esos Rings, Inc.Its principal, Michelle Silverstein …
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