Tammie Farrell, a broker and investment advisor with Capital Investment Group, Inc., is facing serious allegations from a client who purchased GWG Holdings, Inc. L-Bonds on multiple occasions in 2019. The client, referred to as [REDACTED], filed a complaint against Farrell after GWG Holdings filed for Chapter 11 bankruptcy on April 20, 2022. The allegations […]
LPL Financial LLC and financial advisor Douglas Johnson are facing a serious customer dispute allegation, according to the advisor’s FINRA BrokerCheck record. The complaint, filed on March 26, 2024, and currently pending resolution, alleges that Johnson failed to advise the customer that a recommended annuity would rebalance to a more conservative strategy over time, resulting
LPL Financial and Advisor Douglas Johnson Face Serious Customer Dispute Allegation Read More »
Ponzi schemes are scams that promise big profits with little risk by using the money from new investors to pay earlier ones. These illegal tricks have a cycle of taking in new money just to pay out old, always promising large returns with almost no chance of losing. Some flags that wave high for these
Ponzi Schemes Explained: How to Spot and Avoid These Devastating Scams Read More »
At Haselkorn & Thibaut, P.A., our experienced FINRA Arbitration lawyers help victims of investment fraud and financial advisor malpractice recover their investment losses. The securities industry laws are complex, involving state and federal regulations, firm-specific policies, and various industry standards. The Financial Industry Regulatory Authority (FINRA) is the governing body overseeing the securities industry, authorized
FINRA Lawyer: Recover Your Losses Through Arbitration Read More »
Investing can sometimes feel like navigating a stormy sea, where the fear of encountering unfair practices or outright fraud looms large. It’s stories of these unsettling experiences that keep us vigilant. Not too long ago, I stumbled upon a piece of information that was both startling and comforting: the role regulatory scrutiny plays in anchoring
The Role of Regulatory Scrutiny in Protecting Investors: Recent Case Studies Read More »