Envision entrusting your life savings to a financial advisor for smart, personalized financial strategies, only to discover your money has vanished into unsuitable investments. That’s what investors are grappling with in the case against Lawrence Greenfield, a former advisor with respected firms ARETE Wealth Management, LLC and LPL Financial LLC (CRD 6413). A serious misstep […]

In the complex world of finance, trust is a currency all its own. Yet, with the recent controversy surrounding stockbroker Ron Bucher, that trust has been deeply shaken. As a financial analyst and writer, my mission is to demystify the jargon-laden sphere of investments and advocate for the everyday investor. At the heart of this

The tranquil landscape of investment brokers is being disrupted by concerns swirling around David Leslie Arlein, who used to be associated with Cabot Lodge Securities, LLC in Boca Raton, Florida. With a significant 51-year background in the securities industry, Arlein’s experience seemed a pillar of stability. However, beneath the surface, there are troubling signs of

I’m diving deep into the financial world, where oversight is crucial, to shed light on the recent regulatory concerns surrounding MML Investors Services—a brokerage firm that has attracted attention for all the wrong reasons. Getting to Know MML Investors Services I have followed MML Investors Services closely since its inception in 1981, and I’ve watched

Today, I want to bring your attention to an eye-opening narrative surrounding Brian James Mariash. This Sarasota, FL-based stockbroker and financial advisor has made his mark at UBS Financial Services. His career path has led him through major financial players such as Merrill Lynch, Morgan Stanley & Co., and A.G. Edwards & Sons. Now, I’m

My fellow investors, in a world where we often place immense trust in our financial advisors and brokers, it’s disheartening to encounter a scenario that shakes our confidence. I’m talking about Walter Shoczolek of the Sigma Financial Corporation (CRD 14303), who finds himself under a cloud of dubious actions that warrant our attention. Here’s the

It came as quite a shock when I learned that the Financial Industry Regulatory Authority (FINRA) has barred LOUIS P GOFF, who was a broker at WELLS FARGO CLEARING SERVICES, INC in Salt Lake City, Utah. The Grounds For His Expulsion Let me explain why Goff came under scrutiny. He was involved in a civil

As a seasoned financial analyst and someone who has penned numerous articles on financial regulations, I find myself intrigued by the recent departure of Kathleen Hansen from LPL Financial. As of January 12, 2024, per her detailed BrokerCheck record, she’s no longer part of their team. If you’re curious about what led to this decision,

As a financial analyst and writer, I’ve seen firsthand that in the investment realm, trust isn’t just a nice-to-have. It’s everything. However, when trust is broken, it doesn’t just echo across the industry—it hits home for the individuals whose futures rely on the sanctity of their investments. A Grave Charge Against Rand Heckler Let me