At Haselkorn & Thibaut, we often hear stories that sound more like campfire cautionary tales than investment advice. One name that’s come up in conversations with investors: Stephen C. Lawler, affiliated with Cetera Advisors. If you’re working with him—or considering it—here’s what you need to know. A Look Behind the Curtain According to FINRA BrokerCheck, […]
Steve Lawler (Cetera Advisors) – What Investors Need to Know Read More »
When you trust a financial advisor, you’re handing over more than just dollars and cents. You’re placing your future in their hands. That kind of trust should be earned, not taken for granted. Today, we’re examining the recent case involving Jeffrey Alan Arbeit, a former broker with Farmers Financial Solutions, LLC. If his name rings
What Investors Should Know About Jeffrey Arbeit Read More »
Haselkorn & Thibaut is closely monitoring a developing investigation involving Roxane Lillian Rose, a financial advisor at Merrill Lynch’s Santa Fe, New Mexico office. In April 2025, a client filed a complaint alleging unauthorized trading activities spanning December 2024 through April 2025. This case exemplifies the securities violations that can devastate investor portfolios and underscores
The Roxane Rose (Merrill Lynch) Investigation Read More »
Gregory John Richards, a financial advisor with 24 years of experience based in Scottsdale, Arizona, currently faces seven FINRA customer complaints alleging investment misconduct. These complaints center on claims that Richards recommended unsuitable high-risk investments and misrepresented the nature of various investment products, resulting in substantial financial losses for his clients. The pattern of complaints
Gregory John Richards Complaints: A Comprehensive Legal Analysis Read More »
National investment loss and securities law firm Haselkorn & Thibaut issues an important notice to customers of broker Xiao-Mei Chen, NYLife Securities LLC, and New York Life Insurance Company, after their recommendations of unsuitable life insurance policies and annuity investments caused an investor to suffer over $5,000,000 in damages. The firm urges all customers of
NYLife Advisor Xiao-Mei Chen Faces FINRA Arbitration Over $5 Million in Client Damages Read More »