November 2023

Investment fraud is a serious allegation that can have severe consequences for both investors and financial advisors. One such case currently under investigation by Haselkorn & Thibaut involves financial advisor Brian Wurdemann and the firm RBC CAPITAL MARKETS, LLC. A former client alleges that Wurdemann placed trades without her prior knowledge or consent, failed to […]

Investors entrust their finances to financial advisors, expecting them to act in their best interests. However, there are instances where this trust is breached, as in the case of Nicholas Carter, a broker at Morgan Stanley Smith Barney and Morgan Stanley (CRD 149777). Allegations have been made against Carter, accusing him of breach of fiduciary

Investors need to be vigilant when it comes to their financial advisors. A recent allegation has put the spotlight on a financial advisor at Morgan Stanley and the company itself. The claimant alleges a breach of fiduciary duty with respect to the lack of detection of alleged outside fraud perpetuated against the client. This case

Investors are being urged to take note of a serious allegation involving a former financial advisor, Stefanie Hurkala, previously affiliated with Wells Fargo Clearing Services, LLC (CRD No. 19616). The allegation is significant, and its implications for investors could be far-reaching. Understanding the Allegation and the FINRA Rule The allegation against Stefanie Hurkala comes from

Investments are a crucial aspect of financial planning, but they can be a minefield when not handled properly. Recent allegations against Lowrie Sargent, an investment advisor, have brought this issue to the forefront. The gravity of these allegations cannot be overstated, as they involve the provision of investment advice in Florida without the requisite registration