Financial Advisor IQ – Finra Bars FA Accused Of Accessing Former Clients’ Accounts

Financial Advisor IQ covers major changes in our industry, and we pay close attention to the rules that protect investor accounts. Broker-dealer regulations are an essential part of keeping everyone safe from fraud and misuse of client information. Rules around account access help us avoid serious problems when clients move their money between firms. On […]

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FINRA Fines Merrill Lynch $8 Million; Over $89 Million Repaid To Clients Overcharged For Mutual Funds – Funds Society

FINRA fined Merrill Lynch, Pierce, Fenner & Smith, Inc. $8 million for violations linked to mutual fund sales charge waivers. The fine is part of a settlement involving overcharging practices that date back to 2006. Merrill Lynch failed to offer the lowest-cost share classes to eligible customers like certain charities and retirement accounts. As investors,

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Haselkorn & Thibaut Investigates Cyrus Askari Baravati, Former Charles Schwab & Co., Inc. Advisor

Haselkorn & Thibaut has opened an independent investigation into Cyrus Askari Baravati, a Scottsdale, Arizona investment advisor formerly registered as a broker with Charles Schwab & Co., Inc. With increasing investor inquiries and recent disclosure activity, it is critical for anyone who has worked with Cyrus Baravati or Charles Schwab to stay fully informed about

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Investigation Launched into John Pucci of Craft Capital Management

Haselkorn & Thibaut, a leading national securities fraud law firm, has opened an investigation into John Pucci, a financial advisor based in Houston, Texas, who is registered with Craft Capital Management (CRD #6120523). If you are an investor who worked with John Pucci, this comprehensive research report provides the most recent, detailed overview of his

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Haselkorn & Thibaut Opens Investigation Into Valentino Michael Scott at Centaurus Financial, Inc.

Haselkorn & Thibaut, a national securities fraud law firm with over 50 years of experience and a 98% success rate, has opened an independent investigation into Valentino Michael Scott (CRD# 1497615), currently a broker with Centaurus Financial, Inc. in West Hills, California. If you are a current or former client, or if you have questions

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