AZ Investment Fraud Lawyer

FINRA Arbitration Lawyer: Recover Investment Losses and Resolve Broker Disputes

If you’ve recently discovered that your financial advisor may have mishandled your money, you’re probably feeling a mix of emotions right now—confusion, anger, betrayal, and maybe even embarrassment. Please know that you’re not alone, and none of this is your fault. Every year, thousands of hardworking people find themselves in situations where they trusted someone […]

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GWG Holdings L Bonds - GWG Lawsuit

Kingswood Capital Partners Fined $150,000 Over GWG L Bonds Supervisory Failures

California Broker-Dealer Sanctioned for Failing to Supervise Unsuitable Sales of High-Risk Alternative Investments to Senior Investors The Financial Industry Regulatory Authority (FINRA) has censured and fined Kingswood Capital Partners $150,000 after finding the California-based broker-dealer failed to adequately supervise the sale of illiquid alternative investments, including the now-worthless GWG Holdings L Bonds, to senior clients

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Investigation Targets Jeffery Paul Sprague of Cetera Advisors LLC and Cetera Investment Advisers LLC

Haselkorn & Thibaut, a nationally renowned investment fraud law firm, has initiated an investigation into Jeffery Paul Sprague (CRD# 2279580), a financial advisor currently registered with Cetera Advisors LLC and Cetera Investment Advisers LLC in Bingham Farms, Michigan. With over 33 years of experience in the securities industry, Mr. Sprague’s professional history and recent investor

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How Broker Fraud Lawyers Can Help You Recover Your Investment Losses

Investment fraud costs Americans billions of dollars each year. Many victims never get their money back because they don’t know their legal rights. The Securities and Exchange Commission filed 862 enforcement actions in fiscal year 2019 alone. They recovered over $1.2 billion for harmed investors through proper legal channels. Most investors think they have no

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