Investigation Launched into Houston Financial Advisor Raphael Fernando Following Multiple Investor Complaints Haselkorn & Thibaut has opened an investigation into Houston-based financial advisor Raphael Fernando (CRD# 4469669) following more than 70 investor complaints filed against him. The national investment fraud law firm is examining allegations of unsuitable investment recommendations and potential misconduct related to real […]

Investigation Alert: Soyoung Yom and NYLife Securities Under Scrutiny Haselkorn & Thibaut has opened an investigation into Los Angeles financial advisor Soyoung Yom and her practices at NYLife Securities following a recent investor complaint that raises questions about her business conduct and disclosure practices. If you’ve worked with Soyoung Yom or have concerns about variable

Gary Costello, a former broker and investment advisor at AEGIS CAPITAL CORP. (CRD 15007), has been accused of executing unauthorized trades in a client’s account during early 2023. The client, who was an authorized party to the account, discovered the alleged misconduct after reviewing account statements. The dispute was settled on January 4, 2024. Unauthorized

Investigation Into Joe Gamez and Raymond James: What Investors Need to Know Haselkorn & Thibaut has opened an investigation into former San Antonio financial advisor Joe Gamez following his recent bar from the securities industry and allegations of misusing customer funds. If you invested with Joe Gamez at Raymond James or any of his previous

In a recent development, customers have alleged that they were unaware of the contract fees and expressed concerns about the market losses and performance of their variable annuity contracts with Jeffrey Feldhusen of PFS Investments Inc. (CRD 2783704). The case, which is currently pending resolution, has brought to light the importance of transparency and clear