FINRA censured WestPark Capital and ordered $175,000 in fines plus $345,073 in restitution over supervisory failures tied to GWG L bond sales and private placement due diligence lapses.
FINRA Fines WestPark Capital $175K and Orders $345K Restitution Over GWG L Bond Sales Read More »
Haselkorn & Thibaut, P.A., operating as Investment Fraud Lawyers, has opened an investigation into Robert Debbs (CRD #4757851), a current Morgan Stanley broker in New York, NY. If you invested with Robert Debbs, or if you have concerns about your investment recommendations, this report is for you. Our experienced attorneys, including former Wall Street defense
Morgan Stanley Broker Robert Debbs Faces Pending Investor Complaint Review Read More »
Haselkorn & Thibaut, P.A., operating as Investment Fraud Lawyers, has officially opened an investigation into Robert Baker (CRD #2878972), a financial advisor currently registered with Colorado Financial Service Corporation in Colorado. Our attorneys are examining signs of alleged investment misconduct, spanning customer disputes, misrepresentations, and regulatory red flags. If you invested with Robert Baker anywhere
Investigation Opens Into Robert Baker of Colorado Financial Service Corporation Read More »
FINRA suspended Cambridge Investment Research rep Shuai Wang for concealing a paid referral arrangement that steered clients into $495,000 in tax-oriented investments.
FINRA suspends Cambridge rep Shuai Wang over hidden $30,000 referral arrangement Read More »
Haselkorn & Thibaut, P.A., operating as Investment Fraud Lawyers, has opened an independent investigation into Richard Joseph Perlongo (CRD #4913481), a broker previously registered with Spartan Capital Securities, LLC, Worden Capital Management LLC, and Legend Securities, Inc. in New York State. Investors who believe their accounts were mishandled, subjected to unauthorized trading, or suffered excessive