In a recent development, Robert Earls, a former financial advisor associated with LPL Financial LLC (CRD 6413), has been accused of misappropriating client funds from 2015 through 2024. The customer dispute, filed on February 7, 2024, is currently pending resolution. Haselkorn & Thibaut, a national investment fraud law firm with offices in Florida, New York, […]
Investors have recently filed numerous claims with The Financial Industry Regulatory Authority (FINRA) against brokerage firm David Lerner Associates alleging unsuitable concentration in proprietary products invested in non-traded oil & gas investments. The investigation focuses on questionable sales practices and supervisory responsibilities regarding risk-averse customers, particularly retirees who were seeking safe, income-producing investments for their
Energy 11 & 12: Loss Recovery Options Read More »
FS Energy and Power Fund investors face serious financial troubles. We’ve seen the fund’s value drop from $10.00 to just $3.25 as of September 29, 2023. This means many people lost over 60% of their money. If you’ve invested in FS Energy & Power Fund and experienced losses, contact Haselkorn & Thibaut’s securities attorneys at
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John Woo, a broker and investment advisor associated with Transamerica Financial Advisors, Inc. (CRD 16164) in California, is facing a pending customer dispute filed on February 7, 2024. The claimant alleges that Woo failed to assist the client and her deceased spouse with making premium payments, resulting in the lapse of their variable universal life
The Securities and Exchange Commission has recently filed charges against Derek Taller, a former New York investment adviser. The SEC alleges that Taller committed fraud through two companies: Vision BioBanc Holdings LLC and StHealth Capital Investment Corporation. Our investigation reveals that Taller allegedly provided misleading documents to investors, falsely claiming Vision Holdings had proper board
Derek Taller Faces SEC Charges In Investment Fraud Case Read More »