Doug Dulac Allegedly Breached Duty to Investor
Doug Dulac (CRD# 1411702), a broker registered with United Planners’ Financial Services, breached his fiduciary duty to a client, according to an investor dispute. MDF Law is investigating the Carmel, Maine-based financial professional for similar conduct. If you have concerns about your investments, contact us for a free consultation. The following post details the allegations […]
Larry Waller Allegedly Failed to Diversify Assets
Larry Waller (CRD# 3232644), a broker registered with S.A. Stone Wealth Management, is involved in an investor dispute alleging he breached his fiduciary duty. MDF Law is investigating the Atlanta-based financial professional for similar conduct. Call us for a free consultation if you have concerns about your accounts. More information about Waller, the president of […]
Monmouth Capital Broker Has History of Complaints: FINRA
Philip Connors (CRD# 5274094) has been involved in customer complaints alleging excessive, unsuitable, and unauthorized trading. According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, accessed on February 24, 2022, he is currently registered with Monmouth Capital Management’s office in Point Pleasant Beach, New Jersey. Complaints: Connors Engaged in Excessive, Unauthorized Trading Mr. Connors’ […]
Is My Financial Advisor a Fiduciary?
One of the murkiest areas in the financial advisory industry is if a financial advisor is a fiduciary. Part of the problem is that the way the word is used within the industry—as a noun—is not even correctly defined in the dictionary. What does the word fiduciary mean? Merriam Webster defines the noun fiduciary as […]
Former Morgan Stanley Advisor Ebbert Jones Had History of Investor Disputes
Ebbert Jones (CRD# 1226224), also known as Ashby Jones, has been involved in customer complaints alleging his investment recommendations led to substantial losses. According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, last accessed on December 8, 2021, Mr. Jones was previously registered with Morgan Stanley in Newport Beach, California. Investor Settlements Totaled More […]
FINRA: Former Ray Jay Advisor Paul Zirakian Involved in Settled Complaints
Paul Zirakian (CRD# 2311324) has been embroiled in customer disputes that previously settled. According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, last accessed on December 8, 2021, Mr. Zirakian is a broker and investment adviser registered with Ameriprise Financial Services in The Villages, Florida. Complaints: Zirakian Breached his Fiduciary Duty, Recommended Unsuitable Investments […]