Carlson Law Blog
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Carlson Law, P.A. represents investors in high stakes disputes against financial advisors, investment advisors, brokerage and wealth management firms. Our clients depend on us to help recover and secure their life savings and financial future. We are committed to obtaining the best possible outcome for every client.
Carlson Law Blog
3d ago
Virginia Beach, Virginia financial advisor Dave Stephens (CRD# 4631818) recently received an investor complaint alleging that his advice resulted in financial harm. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with MassMutual ..read more
Carlson Law Blog
3d ago
Woodstock, Illinois financial advisor Tim Fraser (CRD# 4868026) recently received an investor complaint alleging that a variable annuity product resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with LPL Financial, doing business as Fraser Wealth Management ..read more
Carlson Law Blog
3d ago
A recent investor complaint against Virginia Beach financial advisor Buck Jones (CRD# 6138651) alleges that his investment recommendation caused harm. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with MML Investors Services, also known as MassMutual ..read more
Carlson Law Blog
3d ago
Asheville, North Carolina financial advisor Doug English (CRD# 2532448) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that the former LPL Financial broker is currently registered as an investment advisor with ACT Advisors ..read more
Carlson Law Blog
3d ago
Former Bethesda, Maryland financial advisor Andy Egber (CRD# 1894585) was recently sanctioned in connection with allegations of the theft of client funds. Financial Industry Regulatory Authority records show that he was previously registered with Steward Partners Investment Solutions, before which he was registered with Raymond James Financial Services and Wells Fargo Clearing Services ..read more
Carlson Law Blog
3d ago
Timonium, Maryland financial advisor Gilbert Kuta (CRD# 1084075) recently received an investor complaint alleging that he effected excessive trades. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Aegis Capital, having previously been registered with Capitol Securities Management ..read more
Carlson Law Blog
3d ago
Kansas City, Missouri financial advisor Edward Prince (CRD# 4647442) recently received an investor complaint alleging that his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Moloney Securities, doing business as Royal Route Company ..read more
Carlson Law Blog
3d ago
Former Solon, Ohio financial advisor Frank Bodi (CRD# 1107838) was recently fired from a former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Landolt Securities broker is currently registered with Asset Strategies in Lisle, Illinois ..read more
Carlson Law Blog
3d ago
Sunrise, Florida financial advisor Ray Anthony (CRD# 4565686) allegedly misrepresented an investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is currently registered as a broker with Arete Wealth Management, doing business as Fincadia Capital Partners ..read more
Carlson Law Blog
3d ago
Canton, Texas financial advisor Dale Hester (CRD# 1992112) is under investigation by state securities authorities for allegations of misconduct. Financial Industry Regulatory Authority records show that he is currently registered as a broker with Calton & Associates and an investment advisor with Dominion Portfolio Management. He is also a representative of Hester Jason CPAs ..read more