Financial Advisor Complaints

Billy Bush (Morgan Stanley)

Billy Bush (Morgan Stanley) Settles Customer Complaint For $250K

Former Morgan Stanley & Co. financial advisor Billy Busch has made a disclosure regarding the settlement of a FINRA lawsuit. Mr. Bush’s clients allege they were sold unsuitable investments. The information is in the public domain. Unsuitable Investments – Explained Brokers must make investment recommendations that meet their objectives, needs, and risk tolerance. Your broker must …

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John Rochester

John Rochester (Morgan Stanley) FINRA Arbitration Claim Seeks $600K

Morgan Stanley Advisor John Rochester has made a disclosure of an arbitration claim filed by a customer who seeks $600K in damages. This is based on information available in the public domain. Haselkorn & Thibaut has opend an investigation of Mr. Rochester. The Financial Industry Regulatory Authority (FINRA), the body that licenses brokerage firms and …

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William LeBoeuf SUSPENDED by FINRA

Cetera Complaints: William LeBoeuf SUSPENDED by FINRA for Private Securities Transactions

Engaging in private securities transactions has earned financial advisor William LeBoeuf a fine and suspension by the Financial Industry Regulatory Authority (FINRA). The transactions in question were performed while he was a registered representative initially of Merrill Lynch and then with Cetera. Private securities transactions of LeBoeuf According to FINRA, LaBoeuf’s dabbling in private securities …

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CFP Board Censures 22 CFPS!

Certified Financial Planner Board of Standards, Inc. (CFP Board) Censures 22 CFPS!

The Certified Financial Planner Board of Standards, Inc. (CFP Board) announced today that it would impose public sanctions on 22 CFP(r), current or former, professionals and candidates for CFP(r) certification. These sanctions will take effect immediately or at the time indicated in each case. CFP Board has taken public sanctions against 22 CFP(r), current or …

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