Platt is a registered investment adviser with Hancock Whitney and has been since 2013. Robin Vail Platt (CRD:2584058) is registered as an investment adviser and[...]
Broker / Advisor Investigations
Investors should seek damages after Tyler Tysdal recommended investments that were unsuitable. Tyler Tysdal of Lone Tree, Colorado, and his business partner, Grant M. Carter[...]
Burish is accused of recommending a strategy that was unsuitable and risky. Andrew Burish (CRD: 1111163) is registered as a broker and investment adviser with[...]
Clason was previously accused of stealing over $600k from a retired client. Matthew Clason (CRD: 4692266) was registered as a broker with LPL Financial from[...]
Burish is accused of recommending a strategy that was unsuitable and risky. Andrew Burish (CRD: 1111163) is registered as a broker and investment adviser with[...]
Hersch is accused of breach of fiduciary duty, constructive fraud, and negligence, among other forms of misconduct. Gregory Hersch (CRD: 3254629) is registered as a[...]
Allegations of laddered Call Options Strategy on Apple Stock A dispute was first reported in December 2020 as: Allegations: The customer alleged an unsuitable laddered call[...]
Scott faced a FINRA investigation into potential undisclosed outside business activities. John Lee Scott (CRD:2407619) was registered as a broker with LPL Financial from 2017[...]
The customer is seeking $20,000 following allegations that the securities purchased were unsuitable. David Michael Logsdon (CRD: 4178266) is registered as a broker and investment[...]
The client is seeking $101K in damages in connection with the allegations. Sean Westbrook (CRD: 5090374) is registered as a broker and investment adviser with[...]