Registered investment advisor fraud describes misconduct by an advisory firm that owes clients a fiduciary duty. Claims against an advisory firm usually proceed in court or in arbitration named in the advisory agreement. Claims against a broker-dealer proceed in FINRA … Continue reading
Yes, you can sue your financial advisor if misconduct caused your loss. Poor market performance is not misconduct. Ignoring your risk tolerance, hiding a conflict, or trading without your permission is. Most investors who wonder whether they may sue a … Continue reading
LPL Financial LLC broker Carlos Leston (CRD# 3021614) is accused of promissory note losses. He has been registered with LPL Financial LLC in Weehawken, New Jersey, from 2008 to 2022. In October 2022, FINRA barred him after he “consented to … Continue reading
Can I recover losses due to recommendations by former Newbridge Securities Corporation broker Joseph Smith Jr. (CRD# 428137)? He was registered with Kingswood Capital Partners, LLC in San Diego, California, from 2023 to 2024, Newbridge Securities Corporation in Boca Raton, … Continue reading
Erez Law is currently investigating former Quest Capital Strategies, Inc. broker Robert Starnes (CRD# 1429794), who is accused of broker misconduct. He has been registered with SA Stone Wealth Management Inc. in Wauwatosa, Wisconsin, from 2019 to 2023, when he … Continue reading
There are options for clients of State Farm VP Management Corp. broker Reginald Rabb (CRD# 3140903), who faces a customer complaint. He has been registered with State Farm VP Management Corp. in La Crosse, Wisconsin, since 1999. Reginald Rabb Customer … Continue reading
R. F. Lafferty & Co., Inc. broker Kevin Cory (CRD# 1716966) is accused of broker misconduct. He has been registered with R. F. Lafferty & Co., Inc. in New York, New York, from 2017 to 2022. Previously, he was registered … Continue reading
There are options for customers of former Edward Jones broker Travis Castleberry (CRD# 2519003) who suffered investment losses. He was registered with Edward Jones in Canton, Georgia, from 1994 to 2022. Travis Castleberry Customer Complaints He has been the subject … Continue reading
PFS Investments Inc. broker Davie Ambrose (CRD# 1580051) faces a customer complaint related to investment losses. He has been registered with PFS Investments Inc. in Houston, Texas, since 2012. Davie Ambrose Customer Complaints He has been the subject of one … Continue reading
Were you the victim of investment losses due to recommendations by Edward Jones broker Chad Metzger (CRD# 2643188)? He has been registered with Edward Jones in Wapakoneta, Ohio, since 1999. Chad Metzger Customer Complaints He has been the subject of … Continue reading