As I delve into the financial labyrinth surrounding Mr. Peter Brian Robertson, a stockbroker based in Irvine, CA, I encounter some serious allegations. They raise questions about his professional conduct, particularly his recommendation of unsuitable oil and gas investments for a customer. I will parse this complex situation to shed light on these allegations, the […]
When you’re investing your hard-earned money, the last thing you want is for it to disappear due to unscrupulous practices or a financial advisor who doesn’t have your best interests at heart. With that in mind, I discuss the recent allegations regarding stockbroker Mr. Mark James Bloom, currently aligned with Avantax Investment Services and Avantax
Atlanta Stockbroker Mark Bloom Faces $100,000 Customer Dispute over Structured Notes Read More »
Have you ever feared the old saying, “A bad penny always turns up?” For investors, a more frightening rendition might be, “A bad financial advisor always turns up – on your portfolio’s bottom line.” It’s been researched and suggested that on average, bad financial advisors could cost you up to 23% of your wealth over
H2C Securities Fined $250,000 by FINRA Over Failed Communication Reviews Read More »
Any keen observer of the financial industry would have detected a startling trend: instances of financial advisors engaged in misconduct are alarmingly on the rise. This fact makes it imperative for any investor to scrutinize their financial advisors meticulously, ensuring that their chosen confidant is not just sound in terms of his technical competencies but
FINRA Bars Advisor Sosa Over Alleged Customer Funds Misuse Read More »
I’ve seen the landscape of financial advisement shift throughout my career, observing an intricate dance between market forces and legal frameworks. Certainly, there is truth in the words of renowned economist John Keynes, who said, “The markets can remain irrational longer than you can remain solvent.” And yet, not all shifts in the advisement landscape
Ex SunTrust (Truist) Broker Eddy Blizzard Charged With Embezzlement of Over $1 Million Read More »
As a financial analyst and legal expert, I’m here to discuss a recent investor dispute involving registered broker Michael Culwell (CRD #: 5989109), employed with Emerson Equity. If you’ve invested with Culwell, you might have burning questions about the allegations and potential impacts on your investment. Scrutinizing the Allegations: A Serious Matter for Investors
When it comes to investing, one must step forward with caution and understanding, fully aware of the quicksilver nature of financial markets. I couldn’t resonate more with Benjamin Franklin’s famous quote, “An investment in knowledge pays the best interest.” As a seasoned financial analyst and legal expert, I have spent over a decade navigating the
Securities Broker Darren Ting Investigated for Possible Sales Practice Violations Read More »
As a seasoned financial analyst and writer, I’m compelled to share that Steven Harris, once affiliated with Transamerica Financial Advisors, Inc., faced serious allegations that ultimately led to his expulsion from the finance industry. For those unfamiliar, the Financial Industry Regulatory Authority (FINRA) plays the critical role of monitoring and enforcing the integrity of brokerage
My Take on Steven Harris’ Ban From FINRA (Transamerica Financial) Read More »
As a financial analyst and writer, I’ve spent years unraveling the complexities of the finance world to offer clear insights. One particular situation that stands out is the case of Trevor Rahn, a former broker with JP Morgan Securities in Los Angeles. Up until September 2018, he appeared to be a standard financial professional. But
My Take on the Trevor Rahn FINRA Suspension Read More »
My name is Emily Carter, and as a financial analyst and writer, I’ve seen the impacts of fraudulent behavior in the finance industry firsthand. Let me guide you through the recent suspension of Joseph M. Whitney from the Certified Financial Planner (CFP) Board. Whitney’s career as a financial advisor is currently under scrutiny. A closer
Unpacking the Suspension of Financial Advisor Joseph Whitney for Alleged Misconduct Read More »
