Financial Advisor Complaints

SEC Charges 21 Registered Investment Advisors and 6 Brokers Dealers

SEC Charges 21 Registered Investment Advisors and 6 Brokers Dealers

Securities and Exchange Commission (SEC) has fined and charged 21 registered investment advisors and six broker-dealers with failing to timely file and deliver customer relationship summaries, known as Form CRS. The penalties range from $10,000 to approximately $97,500. The SEC approved in June 2019 its four-part package regulations that aim to reform investment advice standards for …

SEC Charges 21 Registered Investment Advisors and 6 Brokers Dealers Read More »

Mark Barrand (Ameriprise Financial) Complaint Filed

Mark Barrand (Ameriprise Financial) Complaint Filed “FINRA”

Haselkorn & Thibaut, P.A., a national investor law firm, is investigating claims of unsuitable investment recommendations against Mark Barrand who is an investment advisor with Ameriprise Financial.  Former clients have made allegations that Barrand misrepresented investments and did follow suitability standards for clients. Mark Allen Barrand, the broker at the center of these disputes, is …

Mark Barrand (Ameriprise Financial) Complaint Filed “FINRA” Read More »

Thrivent Advisor Matthes to Serve 63 Month Prison Term; Pay $2.4M in Restitution

Mutual of Omaha Advisor Matthes to Serve 63 Month Prison Term; Pay $2.4M in Restitution

The investigation into Edward E. Matthes’ activities was initiated when a client sounded off FINRA (Financial Industry Regulatory Authority) in March 2019 upon receipt of an account statement that looked fake to him. Apart from the Securities Exchange Commission (SEC), the Oconomowoc Police Department, the FBI and the Labor Department’s Employee Benefits Security Administration also …

Mutual of Omaha Advisor Matthes to Serve 63 Month Prison Term; Pay $2.4M in Restitution Read More »

Kestra Investment Services Complaint

Kestra Investment Services Complaint: Arbitration Claim Against James Daughtry For Losses

The investment fraud attorneys at Haslkorn & Thibaut are investigating James Blake Daughtry while at Kestra Investment Services for alleged financial losses suffered by investors.  Any clients or anyone having information on James Daughtry should contact our offices immediately. About James Blake Daughtry James Daughtry, now a former broker of the firm, has been named in …

Kestra Investment Services Complaint: Arbitration Claim Against James Daughtry For Losses Read More »

Morgan Stanley Advisor Viyella BARRED

Morgan Stanley Advisor Viyella BARRED After Selling Away Allegations and Lawsuits

Morgan Stanley discharged advisor Candido Viyella in 2020 “after allegations were made accusing him of participation in an outside investment involving clients for which the registered representative had a beneficial ownership interest.” He had been associated with Morgan Stanley for 11 years prior to the discharge. Record of Candido Viyella A peek into his broker …

Morgan Stanley Advisor Viyella BARRED After Selling Away Allegations and Lawsuits Read More »

Scroll to Top