Emily

Who is Benjamin Belanger? Investors, take note: I’m talking about stockbroker Benjamin William Belanger, known to friends and colleagues as Ben Belanger, who’s raising eyebrows in the finance world. He’s found himself in hot water with FINRA arbitration, opening the door to lawsuits against him. Belanger has a history with Ameriprise Financial Services, First Allied […]

I’ve been closely following the intriguing saga of Jeffrey Drost, whose once-sterling reputation in the financial circles of Victoria, Texas, is now shadowed by serious allegations. Unraveling the Tale of Misconduct and Reproach The story caught my eye when the Financial Industry Regulatory Authority (FINRA) imposed a decisive action against Drost, forbidding him from continuing

As a financial analyst and life-long writer, I’m always keeping an eye on the movers and shakers in the industry. So when I heard about Michelle Swenson’s dismissal from Wells Fargo Clearing Services, I was taken aback. On January 12, 2024, the rumor mill delivered the bombshell that Swenson was let go due to an

As a financial analyst and writer, I delve into the intricacies of financial systems and advise on navigating the complexities of investing. Recently, allegations against a broker named Mark Steven Elias from UBS Financial Services Inc.—where he has been since January 2003—caught my attention. Reports suggest a pattern of questionable recommendations, potentially leading to substantial

As a financial analyst and writer, I firmly believe in transparency and trust. It is with a heavy heart that I share recent developments in Clearwater, Florida, where a once-revered financial advisor faces severe allegations that threaten to mar his once-shining reputation. Retracing Ronald Giovino Jr.’s Missteps Imagine, for a moment, the delicate balancing act

There’s been a stir in the world of finance as rumors of misconduct surround Brian Grodin, an investment advisor at MML Investors Services. I’ve been closely following this investigation, brought to you by the respected investment fraud law firm Haselkorn & Thibaut, which has made a name for itself nationwide. The Heart of the Matter

I’ve seen quite a few storms brew in the financial industry, but the recent dismissal of Chun Elmejjad from Equitable Advisors certainly stands out. After a commendable 28-year career, the reasons behind her termination point toward a more ubiquitous yet under-discussed issue: the violation of company policies. The Reason Behind the Termination It might shock

Navigating the Choppy Waters of Broker Misconduct Imagine setting sail in the vast world of investing, cheered by the promise of lucrative returns, only to be caught in a storm of FINRA violations. It’s a frightening scenario that too many investors face, a journey turned treacherous. As a financial analyst and writer, I aim to

As a financial analyst and writer, I’ve been closely following the buzz around Peter Hull’s resignation from Tradition Securities Derivatives. According to his BrokerCheck record as of January 12, 2024, Hull left under the cloud of misconduct allegations. This development really underscores the need for regulatory oversight by groups like the Financial Industry Regulatory Authority

As a financial analyst and writer, I’ve been closely following a case that’s been a real wake-up call for investors—the recent accusations against Damian Baird. Having worked for notable firms UBS Financial Services Inc. and Moors & Cabot, Inc. (CRD 594), the complaints against him are shaking the foundations of financial trust built over years.