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.

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Failure to Supervise: Holding Brokerage Firms Accountable

Failure to Supervise: When Brokerage Firms Look the Other Way Table of Contents Toggle Failure to Supervise: When Brokerage Firms Look the Other Way What Is Failure to Supervise? FINRA Supervisory Obligations FINRA Rule 3110: Supervision FINRA Rule 3120: Supervisory Control System What Firms Must Do to Supervise Hiring and Onboarding Supervision Ongoing Transaction Review […]

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Featured image: Concentration Risk

Concentration Risk: When Overconcentration Is Negligence

Concentration Risk: Why Putting All Your Eggs in One Basket May Be Broker Negligence Table of Contents Toggle Concentration Risk: Why Putting All Your Eggs in One Basket May Be Broker Negligence What Is Concentration Risk? FINRA Suitability Obligations Around Diversification Reasonable-Basis Suitability Customer-Specific Suitability Quantitative Suitability The Diversification Imperative Common Concentration Patterns Single-Stock Concentration

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Unauthorized Trading: When Brokers Trade Without Consent

Unauthorized Trading: When Your Broker Trades Without Permission Table of Contents Toggle Unauthorized Trading: When Your Broker Trades Without Permission What Is Unauthorized Trading? The Scope of the Problem FINRA Rules Requiring Authorization FINRA Rule 3260: Discretionary Accounts FINRA Rule 2010: Standards of Commercial Honor FINRA Rule 2111: Suitability Unauthorized Trading vs. Unsolicited Trades What

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Churning: How Excessive Trading Destroys Portfolios

Churning: How Excessive Trading Destroys Portfolios Table of Contents Toggle Churning: How Excessive Trading Destroys Portfolios What Is Churning? Churning vs. Active Trading: What’s the Difference? The Three Legal Elements of Churning 1. Excessive Trading (High Turnover) 2. Excessive Commissions Relative to Account Size 3. Broker Control Over the Account Common Churning Patterns to Watch

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Featured image: Unsuitable Investment Advice

Unsuitable Investment Advice: Did Your Broker Cross Line?

Unsuitable Investment Advice: Did Your Broker Cross Line? Table of Contents Toggle Unsuitable Investment Advice: Did Your Broker Cross Line? What Does “Unsuitable” Mean? 1. Reasonable-Basis Suitability 2. Customer-Specific Suitability 3. Quantitative Suitability The Regulation Best Interest (Reg BI) Standard The Most Common Unsuitable Recommendations Non-Traded REITs Sold to Retirees Private Placements and Reg D

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