Articles Posted in Unsuitable Investments

BrokerCheck, a website maintained by FINRA, has disclosed that financial advisor Robert Alegria and Morgan Stanley are the subject of a customer complaint that was filed in June 2025.  The customer alleged that Alegria made unsuitable investment recommendations and violated Regulation Best Interest (Reg BI) with respect to a securities-backed line of credit.  The alleged…

According to a recent disclosure on BrokerCheck, Stephen Parks of Dallas, Texas and Skystone Securities are the subject of a $5 million customer complaint.  The customer alleged that Parks recommended two speculative, alternative investments, and that he and Skystone failed to perform adequate due diligence on the products sold to the client.  The case was…

Did you lose money with financial advisor Brian Marston in Greenwood Village, Colorado? Israels & Neuman, with offices in Denver, Colorado, is reviewing allegations made against Brian R. Marston, who was affiliated with Woodbury Financial Services between May 2006 and December 2023.  FINRA maintains a website called BrokerCheck, which discloses events like customer complaints, terminations,…

You may be able to recover money if you suffered losses with Carter Terry & Company financial advisor Donald Spivey in Camden, South Carolina. Israels & Neuman is reviewing allegations made against Donald Franklin Spivey, who was a representative of Carter Terry & Company from 2005 to October 2023 and had been in the securities…