Most of us have made mistakes by picking an investment that cost us money or left us feeling uneasy. It’s easy to get confused when facing tough financial choices. We’ve all seen how common these moments are, and studies show almost half of investors regret at least one past decision. In this guide, we’ll show […]
Unsuitable Investment: What to Look For in Bad Financial Advisors Read More »
Haselkorn & Thibaut, P.A. (InvestmentFraudLawyers.com) is monitoring FINRA’s recently announced censure and $650,000 fine against EFG Capital International, a Miami-based broker-dealer, for recurring anti-money laundering (AML) compliance breakdowns. While EFG resolved the matter without admitting or denying the findings, the action marks the second significant AML-related sanction against the firm in recent years and raises
In May 2025, the Utah Division of Securities issued an Emergency Order to Cease and Desist (Case No. SD-25-006) naming Hedgehog Investments LLC and multiple associated entities and individuals. Among those named were current and former investment adviser representatives (IARs) affiliated with Stronghold Capital Partners LLC, including Jason Leon Stock (CRD #6314780). The allegations and
When brokerage firms fail to meet baseline compliance duties, investors often bear the risks. FINRA’s recent fine and censure against Ally Invest Securities LLC is a case in point. According to multiple reports, FINRA penalized Ally Invest $850,000 and issued a censure for failing to preserve approximately 22.6 million business-related electronic communications, along with broader
An early SDNY inquiry puts factoring, off-balance-sheet conduits, and possible rehypothecation under the microscope as creditors allege a multibillion-dollar shortfall. Executive Summary The U.S. Department of Justice (SDNY) has opened an early-stage fact-finding inquiry into the sudden bankruptcy of First Brands Group. Creditors allege $1.9B–$2.3B raised through off-balance-sheet financing has “vanished,” despite only about $12M
DOJ Probes First Brands’ Shock Bankruptcy Amid Allegations Billions “Vanished” Read More »