Fidelity fined after ex-employee stole $750K from stock-plan clients, FINRA says

Fidelity Brokerage Services has agreed to pay a $600,000 fine and accept a censure after regulators concluded the firm failed to adequately supervise an employee who misappropriated roughly $750,000 from stock plan participant accounts over nearly eight years, according to FINRA’s settlement and industry reports. Fidelity has reimbursed affected customers and terminated the employee. The […]

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Investigation Opens Into UBS Advisor Jack Ryan Riley Following Customer Complaints

Jack Ryan Riley – UBS Financial Services Inc., Warren, NJ | What Investors Should Know Haselkorn & Thibaut has opened an independent investigation into Jack Ryan Riley (CRD 4306836), a financial advisor at UBS Financial Services Inc. in Warren, New Jersey. If you invested with Mr. Riley and have concerns regarding your account, now is

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Eric Bailey Of Lincoln Financial Advisors Faces Scrutiny Over Alleged Unsuitable VUL Insurance Recommendation

In a recent development, a customer dispute has been filed against Eric Bailey, a registered representative of Lincoln Financial Advisors Corporation (CRD 3978) in Maryland. The claimant alleges that the Variable Universal Life (VUL) insurance policy recommended by Bailey in 2015 was unsuitable and not in her best interest. The disclosure, which was denied on

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Merrill Lynch Advisor Blake Scherr Faces $1 Million Investor Complaint

Understanding Blake Scherr’s Background and Recent Investor Complaint at Merrill Lynch Haselkorn & Thibaut, a national investment fraud law firm with over 50 years of experience, has opened an investigation into Vienna, Virginia financial advisor Blake Scherr (CRD# 5043294) following a significant investor complaint filed against him. If you’ve worked with Blake Scherr at Merrill

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Mark Alan Mappa, Cetera Advisors Under Investigation for Investment Losses

Mark Alan Mappa, Cetera Advisors LLC – Investor Alert & Review (Deerfield, IL 2025) Haselkorn & Thibaut, a national investment fraud law firm, has opened an investigation into Mark Alan Mappa, a financial advisor based in Deerfield, Illinois and currently affiliated with Cetera Advisors LLC and Cetera Investment Advisers LLC. If you invested with Mark

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