Oppenheimer & Co. Inc., IFP Securities, LLC, and World Investment, LLC recently settled FINRA cases totaling $450,000 in fines. The cases involved mislabeled CMOs, failed mutual fund and UIT surveillance, and inadequate annuity supervision.
Haselkorn & Thibaut, P.A., operating as Investment Fraud Lawyers, has opened an independent investigation into the sale and recommendation of DCM US Multi-Family Homes PLC Notes by several broker-dealer firms, including Andbanc Brokerage LLC, Andbanc Advisory LLC, BCI Securities, Inc., Boreal Capital Securities, LLC, and Mora WM Securities, LLC. Our attorneys bring years of insider
DCM US Multi-Family Homes Notes Investigation Involving Andbanc BCI Boreal Mora Firms Read More »
Haselkorn & Thibaut, P.A., operating as Investment Fraud Lawyers has officially opened an independent investigation into Theodore William Byrer (Ted Byrer, CRD# 2980696), former Morgan Stanley broker based in Indianapolis and Carmel, Indiana. This report combines our decades of securities law experience with findings from FINRA, public records, and direct outreach from former clients. If
Haselkorn & Thibaut, P.A., operating as Investment Fraud Lawyers, has launched a focused investigation into financial professionals and firms that recommended White River Tribal Tax Credits—sometimes labeled as Sovereign Tribal Tax Credits, Native American Tribal Tax Credits, or White River NATCs—to individual investors nationwide. This investigation follows alarming revelations from federal agencies, as well as
White River Tribal Tax Credits Investigation Expands Over Investor Loss Concerns Read More »
Gregory Norman Grajek, a former UBS and Morgan Stanley broker with CRD 1220268, is accused of misappropriating brokerage assets shared with his ex-wife. His BrokerCheck profile shows six customer disputes, including a pending 2025 complaint.