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National Securities Corporation (NSC) has been fined $9 million by FINRA, including $4.77 million in net profits the company made […]

Merrill Lynch was fined $15.2 Million ($13.4 Million plus interest) by Financial Industry Regulatory Authority (FINRA). It allegedly charged consumers

John Jumper was a former broker with Alluvion Securities who stole $5.7 million from Snowshoe Refractories (a Pennsylvania-based firebrick manufacturer’s

Morgan Stanley, along with one of its financial advisors, now former, Francisco Valenzuela, have been asked to pay $330K over

The Financial Industry Regulatory Authority (FINRA) has taken action against a former Morgan Stanley broker from Beverly Hills, California for

When a broker makes a recommendation that is not suitable for a client, that investor is at risk of taking

Are you wondering if you can sue a financial advisor? Perhaps your advisor shifted firms, or you experienced investment fraud.

Investing in a Ponzi Scheme? There are signs to watch for to avoid falling prey to this financial scam. These

Welcome to WordPress. This is your first post. Edit or delete it, then start writing! source https://financialadvisorcomplaints.com/2022/04/26/hello-world/

Many investors are unable to make a complaint when they feel their financial advisor is not upholding their duties. This