Have you ever felt that sinking feeling when you check your investment account and see unexpected losses? You’re not the only one facing this. According to the Federal Trade Commission, consumers reported losing $5.7 billion to investment scams in 2024, a 24% increase from the previous year. We understand how overwhelming it is when your […]
Expert FINRA Arbitration Attorneys For Resolving Financial Disputes Read More »
Haselkorn & Thibaut has opened an investigation into Anne Davidson (CRD# 728189), a Dallas, Texas-based financial advisor affiliated with Wells Fargo Clearing Services. If you have concerns about your investments or have experienced losses while working with Ms. Davidson, this report provides valuable information to help guide your next steps—plus a direct way to seek
Investigation Opens Into Anne Davidson of Wells Fargo Clearing Services Read More »
Financial Advisor IQ covers major changes in our industry, and we pay close attention to the rules that protect investor accounts. Broker-dealer regulations are an essential part of keeping everyone safe from fraud and misuse of client information. Rules around account access help us avoid serious problems when clients move their money between firms. On
Financial Advisor IQ – Finra Bars FA Accused Of Accessing Former Clients’ Accounts Read More »
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