Emily

A recent review of FINRA BrokerCheck records reveals a pending customer dispute involving Peter Eugene Black (CRD #1333774), a long-tenured financial advisor currently registered with UBS Financial Services Inc. in Princeton, New Jersey. The file a FINRA complaint, which has evolved into a FINRA arbitration, highlights issues that investors are often encouraged to monitor closely […]

David Lerner Associates, a prominent investment firm based in the Northeast, has recently come under scrutiny following multiple client complaints targeting one of its financial professionals: Alan Lowenfells. Based in White Plains, New York, Alan Lowenfells is a registered broker with over two decades of securities industry experience. However, a recent wave of allegations has

UBS Financial Services and one of its registered professionals, Todd Kennedy (CRD #: 2382823), are once again in the spotlight due to serious allegations surrounding the handling of a client’s investment portfolio. With more than two decades of industry experience and nearly a decade at UBS Financial Services, Kennedy finds himself responding to claims that

Cambridge Investment Research—operating under the business name Vast Wealth Advisors—and advisor Jessica Jung are at the center of growing discussions about suitability and due diligence in the financial advisory industry. Recently, a significant investor file a FINRA complaint has emerged against Jessica Jung (CRD# 4922155), raising important questions for investors and industry professionals alike regarding

FBL Marketing Services and broker Douglas Burchett (CRD #1740800) are currently under scrutiny due to significant allegations put forth by an investor regarding potentially unsuitable investment advice and misrepresentation of investment risks. This customer FINRA arbitration what to expect, registered on September 2, 2025, marks a pivotal moment in the professional record of Douglas Burchett,

Merrill Lynch and one of its Vienna, Virginia-based financial advisors, Blake Scherr, are under the spotlight following a recent investor file a FINRA complaint seeking $1 million in damages. This development highlights the importance of due diligence and transparency in the financial advisory world—a realm where, as Warren Buffett famously remarked, “It takes 20 years

LPL Financial and registered advisor William Song (CRD #: 4008256) are currently under scrutiny following serious investor allegations of unauthorized activity. Understanding the complexities and wider impact of these claims is crucial for both professionals in the finance industry and individual investors. Below, we take a comprehensive look at the case, related compliance issues, and

Aegis Capital Corporation and one of its financial advisors, Dieter Huber, have recently come under renewed scrutiny following a series of investor complaints that raise important questions for current and prospective clients. Based in Red Bank, New Jersey, Dieter Huber (CRD# 2742065) has worked in the securities industry for nearly three decades, but recent allegations

David Lerner Associates and registered broker Howard Roth (CRD #867754) have recently found themselves at the center of a significant investor file a FINRA complaint, raising questions about the suitability of certain complex investment products in client portfolios. This matter, known as the “Energy 11 Suitability FINRA arbitration what to expect,” underscores broader industry issues

Lee Ng & Associates, led by financial advisor John Lee, is facing renewed scrutiny after a major investor file a FINRA complaint was filed against the firm in September 2025. Located in Pleasanton, California, John Lee (CRD# 2948622) conducts business under the umbrella of Independent Financial Group, where he has served clients for over two