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.

LPL Financial Complaint

LPL Financial Complaint “FINRA” Leads to John Simmons Getting Barred

Failure to provide requested information and documents to the regulator has earned LPL financial advisor John E. Simmons Jr. an automatic debarment from the industry. It appears that a letter from the self-regulating organization FINRA (Financial Industry Regulatory Authority) was sent to Simmons in February asking for information pertaining to the investigations it was carrying […]

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O.N. Equity Sales Company (ONES) Fined By FINRA

O.N. Equity Sales Company (ONES) Fined by FINRA and Pay $1 Million Restitution

O.N. Equity Sales Company (ONES) is the latest broker-dealer to be found guilty of lack of supervision of its brokers by the Financial Industry Regulatory Authority (FINRA). The result is a fine of $275,000 and an order to pay restitution to impacted customers, amounting to over a million dollars, including interest. This is as per

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UBS Yield Enhancement Strategy Lawsuit "FINRA": Jose Cornide Complaint

UBS Yield Enhancement Strategy Lawsuit “FINRA” Against Jose Cornide

The first lawsuit against financial advisor Jose Cornide (CRD#: 2785918), a representative of UBS Financial Services (CRD# 8174) accused of “unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy” was file by an attorney in April 2019, representing a client. The damages claimed are $10,000,000 and the options

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