UBS Yield Enhancement Strategy

UBS Yield Enhancement Strategy Lawsuit

Recently, a number of investors have incurred unnecessary investment losses associated with an investment strategy at UBS (and other competing firms) referred to as a “Yield Enhancement Strategy (YES).”  Haselkorn & Thibaut  (InvestmentFraudLawyers.com) currently represents investors seeking to recover losses from UBS Yes and other options strategies.  This investment strategy involves an options strategy that …

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Centaurus Financial

Centaurus Financial – Structure Notes – Investment Fraud Investigation

Haselkorn & Thibaut, a national investment fraud law firm, is currently investigating financial advisors at Centaurus Financial, Inc for broker and investment fraud.  Centaurus Financial is headquartered in Anaheim, CA, and conducts business nationwide through 650 or more financial advisors handling over $10 billion in customer assets. Several Centaurus Financial advisors are alleged to have …

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Madison Avenue Securities

Madison Avenue Securities Advisor Andrew Costa Investigated For REIT Sales

Investors have recently filed many complaints regarding the financial advisor Andrew Montgomery Costa (CRD#: 4847063, Fort Lauderdale, Florida) of Madison Avenue Securities (CRD# 23224) and his former broker-dealer at GF Investment Services (CRD# 132939). FINRA. It is reported that there are ten complaints regarding the allegation of misconduct of Costa.  It is alleged that Costa …

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Voya Financial Advisor Jim Flynn Barred

Voya Financial Advisor Jim Flynn Barred – Complaints and Investigation

Voya Financial Advisor James Travis Flynn (Jim Flynn) of Greenville, South Carolina, and his former employers are currently under investigation by Haselkorn & Thibaut. It is being reported that Voya Financial may have also failed in effectively supervising Mr. James. The Post and Courier of Greenville and Investment News yesterday reported that Mr. Flynn has …

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Oaktree REIT Lawsuit

Oaktree REIT Net Asset Value Lowered “FINRA” Lawsuit

Haselkorn & Thibaut has recently received many complaints from investors involving improper recommendations of high-risk non-traded REIT investments like Oaktree REIT by broker-dealers.  Many investors are not familiar with the risks associated with these investments before buying them, or worse, trying to sell these types of investments and getting paid “pennies on the dollar.” Anyone …

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Newbridge Securities Broker Marshall Isaacson Barred By FINRA over Unsuitability Claims

Newbridge Securities Broker Marshall Isaacson Barred By FINRA over Unsuitability Claims

In 2019 alone, Marshal Isaacson had four customer complaints registered against him for financial misconduct. Marshall Isaacson, an ex-broker at Newbridge Securities based in Boca Raton, Florida, was recently barred by The Financial Regulatory Authority (FINRA). According to several reports, Isaacson has been accused of making unsuitable investment recommendations without paying heed to investor’s risk …

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Frontier Communication Bonds Investors Lawsuit

Frontier Communication Bonds Investors Lawsuit “FINRA”

Frontier Communication Bond investors may now be able to recover losses incurred on Frontier Communication bonds through with the help of investor lawyers.  Since Frontier Communication Corps. filed for bankruptcy protection, investors have been determined to find a way to recover their losses.  FMSBONDS, INC., previously known as First Miami Securities, issued and sold millions …

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10 Cons of Non-Traded REITS

10 Cons of Non-Traded REITS

The issues noted by the Securities and Exchange Commission (SEC) and Financial Regulatory Authority (FINRA) as national regulators as well as many state securities regulators over the years is that Non-Traded REIT and BDC investment products are complex, high-commission, alternative investments that are often difficult to understand and leave the financial advisors at the mercy …

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Sierra Income Lawsuit

Sierra Income Corp Lawsuit “FINRA”

Sierra Income Corp. (Sierra Income) is a non-traded business development company (BDC). In 2019 there was a merger with Medley Capital, but for original investors who paid at or near $10.00/share for Sierra Income, there are currently significant investment losses to consider. For one thing, Sierra Income sales were promoted by financial advisors and broker-dealer …

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KBS Growth & Income REIT Lawsuit "FINRA"

KBS Growth & Income REIT Lawsuit “FINRA”

Haselkorn & Thibaut recently announced that it is moving forward with its probe into broker-dealers that unsuitably recommended KBS Growth & Income REIT to investors. The investigation is a great step forward for investors that lost their money by investing in the REIT. This is because it means they can potentially get recover the losses …

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