Mutual of Omaha Advisor Matthes to Serve 63 Month Prison Term; Pay $2.4M in Restitution

The investigation into Edward E. Matthes’ activities was initiated when a client sounded off FINRA (Financial Industry Regulatory Authority) in March 2019 upon receipt of an account statement that looked fake to him. Apart from the Securities Exchange Commission (SEC), the Oconomowoc Police Department, the FBI and the Labor Department’s Employee Benefits Security Administration also …

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source https://financialadvisorcomplaints.com/mutual-of-omaha-advisor-matthes-to-serve-63-month-prison-term-pay-2-4m-in-restitution/

Kestra Investment Services Complaint: Arbitration Claim Against James Daughtry For Losses

The investment fraud attorneys at Haslkorn & Thibaut are investigating James Blake Daughtry while at Kestra Investment Services for alleged financial losses suffered by investors.  Any clients or anyone having information on James Daughtry should contact our offices immediately. About James Blake Daughtry James Daughtry, now a former broker of the firm, has been named in …

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source https://financialadvisorcomplaints.com/kestra-investment-services-complaint/

Morgan Stanley Advisor Viyella BARRED After Selling Away Allegations and Lawsuits

Morgan Stanley discharged advisor Candido Viyella in 2020 “after allegations were made accusing him of participation in an outside investment involving clients for which the registered representative had a beneficial ownership interest.” He had been associated with Morgan Stanley for 11 years prior to the discharge. Record of Candido Viyella A peek into his broker …

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source https://financialadvisorcomplaints.com/morgan-stanley-advisor-viyella-barred-after-selling-away-allegations-and-lawsuits/