FINRA fined Merrill Lynch, Pierce, Fenner & Smith, Inc. $8 million for violations linked to mutual fund sales charge waivers. The fine is part of a settlement involving overcharging practices that date back to 2006. Merrill Lynch failed to offer the lowest-cost share classes to eligible customers like certain charities and retirement accounts. As investors, […]
Haselkorn & Thibaut has opened an independent investigation into Cyrus Askari Baravati, a Scottsdale, Arizona investment advisor formerly registered as a broker with Charles Schwab & Co., Inc. With increasing investor inquiries and recent disclosure activity, it is critical for anyone who has worked with Cyrus Baravati or Charles Schwab to stay fully informed about
Haselkorn & Thibaut, a leading national securities fraud law firm, has opened an investigation into John Pucci, a financial advisor based in Houston, Texas, who is registered with Craft Capital Management (CRD #6120523). If you are an investor who worked with John Pucci, this comprehensive research report provides the most recent, detailed overview of his
Investigation Launched into John Pucci of Craft Capital Management Read More »
Haselkorn & Thibaut, a national securities fraud law firm with over 50 years of experience and a 98% success rate, has opened an independent investigation into Valentino Michael Scott (CRD# 1497615), currently a broker with Centaurus Financial, Inc. in West Hills, California. If you are a current or former client, or if you have questions
Haselkorn & Thibaut has opened an independent investigation into Steven Rini (CRD# 4255247), a financial advisor based in Westlake, Ohio with Morgan Stanley. Our intent is to ensure potential investors have access to the most current and comprehensive information. If you’ve invested with Steven Rini or are thinking of doing so, this research-backed report offers