Investment Fraud Lawyers, Author At Haselkorn & Thibaut, P.A.

TCFG Wealth Management Advisor Charged By SEC – Investor Investigation

The SEC alleges Laguna Niguel, California-based TCFG Investment Advisors, LLC, TCFG affiliate broker-dealer TCFG Wealth Management, LLC, (TCFG Wealth) and Richard James Roberts – its president, CEO, and member of management – with making materially false and misleading statements and omissions related to ICT advisory client fee markings. An SEC complaint was filed at the […]

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Truist Lawsuit: Six-Figure Northstar Financial Services (Bermuda) Claim in FINRA Arbitration Case

The tally of investors seeking compensation from their broker-dealer for losses incurred on account of their unsuitable recommendation of Northstar Financial Services (Bermuda), which has filed for bankruptcy and is undergoing liquidation proceedings. keeps rising. The latest is an elderly investor from Venezuela who is seeking a six-figure sum as compensation from his brokerage firm

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

UBS Loses Big Claim On Yield Enhancement Strategy (YES)

UBS Wealth Management lost a couple of key FINRA arbitration cases this past week on Yield Enhancement Strategy (known as YES). The full $269,337.09 loss plus prejudgment interest of $45,009.80, to Robert and Marcia Shinbrot. The full $421,868.58 loss plus prejudgment interest of $70,499.93, to Nicholas and Brigit Trentalange. In addition, all costs and fees,

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Edward Jones Advisor Ethan Binnion Suspended

Ethan Binnion is currently not a registered representative of any broker-dealer but was associated with Waddell and Reed. This was after he had been discharged from his previous firm, Edward Jones, on account of “using money from his Business Expense Plan (BEP) … in violation of the terms of the plan,” as per FINRA (Financial

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SCF Securities Advisor Todd Petersen Complaints

With a history dating back to 1984, Todd Petersen is a veteran of the securities industry. However, it is his recent history, with eight customer disputes logged on his BrokerCheck Record in 2020, that is attracting attention, for the wrong reasons. He was discharged by SCF Securities, Inc. with whom he was a registered representative

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