Haselkorn & Thibaut, P.A., operating as Investment Fraud Lawyers, has formally opened an independent investigation into Boca Raton, Florida financial advisor Mike Gestone (CRD# 5984302) of Greenbird Capital. Our attorneys leverage decades of insider knowledge as former Wall Street defense counsel to protect individual investors nationwide. We have a 98% success rate in hundreds of investor claims and are recognized in the top 2% peer-reviewed (Martindale-Hubbell AV Preeminent), with Super Lawyers designations and consistent 5.0-star reviews. If you have questions about your account, suffered investment losses, or suspect misconduct involving Mike Gestone or Greenbird Capital, please contact us for a free, confidential consultation at 1-888-885-7162.
Background: Who Is Mike Gestone of Greenbird Capital?
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Based in Boca Raton, Florida, Mike Gestone is currently registered as a broker with Greenbird Capital. According to FINRA BrokerCheck, he has 14 years of experience in the securities industry. His qualifications include completion of prominent exams (SIE, Series 63, and Series 7) and registrations with several broker-dealers, including:
- Greenbird Capital (current, since 2021)
- National Securities Corporation
- IAA Financial
- Wilmington Capital Securities
- Whitewood Group
- Obsidian Financial Group
Mr. Gestone currently holds licenses in all 50 states. As of May 10, 2026, he is listed as an active broker with no reported regulatory bars or suspensions.
Investigation Initiated: Our Firm’s Findings to Date
Our attorneys have commenced a thorough review of recent disclosures, complaint history, and regulatory actions involving Mike Gestone and Greenbird Capital. As advocates for investors and counsel experienced in recovering investment losses, our first step is always comprehensive and data-driven. Here is what our initial investigation has revealed:
| Information Source | Summary as of May 2026 |
|---|---|
| FINRA BrokerCheck |
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| SEC Filings & Orders |
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| Federal & State Courts |
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| Other Regulatory Bodies & Media |
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Current Red Flag: $1 Million Investor Complaint Associated with Mike Gestone
The most recent update and primary concern at this time involves a pending $1 million investor complaint associated with Mike Gestone during his tenure as a representative of Greenbird Capital Advisors. Below are the relevant publicly reported details:
- Date filed: March 2026
- Filed by: Individual investor (claimant not publicly named)
- Allegations:
- Violation of FINRA Rule 3010 (now Rule 3110), which requires brokerage firms to maintain systems to reasonably supervise registered representatives for compliance with securities laws and regulations
- Violation of Section 20(a) of the Securities Exchange Act, which creates potential liability for control persons or supervisors based on improper actions by subordinates
- Other unspecified causes of action linked to alleged misconduct involving a non-member entity
- Claimed damages: $1 million
- Respondent status: Mike Gestone is not named as a respondent but is disclosed as the registered representative who oversaw the client account at issue
- Status: Pending
Although Mr. Gestone is not directly named as a respondent, the complaint references alleged supervisory failures and misconduct involving the handling of the claimant’s investments at Greenbird Capital.
Key Takeaways for Investors
- One pending high-value complaint may raise supervisory and compliance concerns for investors considering or currently working with Mike Gestone of Greenbird Capital
- No prior customer disputes, regulatory actions, or civil lawsuits have been reported against him in the public records reviewed
- A single allegation of this nature can sometimes point to broader issues involving firm supervision, compliance procedures, or representative oversight
- Claims involving FINRA Rule 3010/3110 and Section 20(a) can be significant and may present recovery options for harmed investors, depending on the facts
How to Monitor & Protect Your Investments
Because our firm is actively investigating Mike Gestone and Greenbird Capital, we recommend that any client who entrusted funds to Mr. Gestone take the following steps:
- Review account statements for unauthorized, unsuitable, or unexplained transactions
- Request written clarification regarding any complex or high-risk investment products
- Ask for copies of communications and records related to recent account activity
- Act promptly if you notice losses or suspect misconduct, as timely action may improve your recovery options
Why Choose Our Firm?
We draw on 95+ years of combined securities law experience and unique insider knowledge as former industry defense attorneys to pursue compensation for wronged investors. Our No recovery, no fee commitment means you pay nothing unless we obtain a recovery for you. Our attorneys maintain elite credentials and proven results, including:
- 98% success rate across hundreds of investor claims
- More than $520 million in securities matters overseen
- Top 2% peer-reviewed and Super Lawyers-designated team
- 5.0-star client satisfaction
We are prepared to advocate for your interests and pursue recovery with the experience and determination that have earned us national recognition.
Contact Us for a Free Consultation & Recovery Assessment
If you have sustained losses with Mike Gestone of Greenbird Capital, or if you have concerns about your investment account, we encourage you to act promptly. Our attorneys are available for a free, confidential case review.
Call 1-888-885-7162 or contact us through our website today. The sooner you act, the more options may be available.
