Investment Fraud Lawyers

Investment Fraud Lawyers is led by founding partners Jason S. Haselkorn (FL Bar No. 52140) and Matthew R. Thibaut (FL Bar No. 514918) of Haselkorn & Thibaut, P.A. Former Wall Street defense attorneys and previously licensed securities brokers, they now represent individual investors nationwide in FINRA arbitration and securities litigation. The firm focuses on investment fraud and securities cases involving broker misconduct, unsuitable recommendations, and fraudulent schemes, with an approximately 98% success rate across hundreds of matters and more than 95 years of combined securities law experience. From offices in Florida, New York, Arizona, Texas, and North Carolina, the firm typically handles investor cases on a contingency‑fee basis — there is no attorney’s fee unless a financial recovery is obtained.

David Lerner Associates: Energy 11, Energy 12, Spirit of America Energy Funds Lawsuits

Daniel Lerner of David Lerner Associates Faces FINRA Heat Over In-house Fund Sales

The sale of proprietary investment funds to clients has led to The Financial Industry Regulatory Authority Inc. (FINRA) investigating Daniel T. Lerner in an effort to establish whether his investment recommendations were suitable. Daniel, a senior executive at David Lerner Associates Inc., is the son of David Lerner, the owner and founder of the eponymous […]

Daniel Lerner of David Lerner Associates Faces FINRA Heat Over In-house Fund Sales Read More »

UBS Yield Enhancement Strategy Lawsuit

UBS Yield Enhancement Strategy Lawsuit (FINRA) Filed By Investors For Losses

The UBS Yield Enhancement Strategy (UBS YES) is an investment strategy that aims to boost returns by selling options. However, this strategy can also lead to significant losses if the underlying security moves in the wrong direction. The Yield Enhancement Strategy (UBS YES), introduced by UBS Financial Services in 2015, was touted as an allegedly conservative

UBS Yield Enhancement Strategy Lawsuit (FINRA) Filed By Investors For Losses Read More »

Morgan Stanley Shaw Good Barred

Morgan Stanley Advisor Shaw Good Barred After $4.8 Ponzi Scheme

Formerly registered with Morgan Stanley, Wilmington, North Carolina-based financial advisor Shawn Good has been accused of operating a $4.8 million Ponzi scheme by the Securities and Exchange Commission (SEC). According to reported news, he faces two charges of felony. A federal judge in North Carolina has barred him from selling securities based on the permanent

Morgan Stanley Advisor Shaw Good Barred After $4.8 Ponzi Scheme Read More »

Sanctuary Securities Fined For GPB Capital Sales

Sanctuary Securities Fined by FINRA Over GPB Capital Sales (David A. Noyes & Company)

Sanctuary Securities Inc. is the latest casualty of the irregularities over the private placement sale of offerings sponsored by GPB Capital. As per the letter of settlement made available by the self-regulating organization (SRO), it has been fined $60K by the Financial Industry Regulatory Authority (FINRA) for the sale of GPB Holdings II LP and

Sanctuary Securities Fined by FINRA Over GPB Capital Sales (David A. Noyes & Company) Read More »

10 Cons of Non-Traded REITS

10 Cons of Non-Traded REITS – Recover Your Losses

Regulators — the SEC, FINRA, and many state securities authorities — have repeatedly cautioned that non‑traded REITs and non‑traded BDCs are complex, often costly, alternative investments. Over the years their messages have been consistent: these products can be difficult for retail investors to understand, they can carry hidden or structural conflicts, and their long‑term economics

10 Cons of Non-Traded REITS – Recover Your Losses Read More »

Scroll to Top