Haselkorn & Thibaut has opened an active, ongoing investigation into Eric Kleiner (CRD# 4135180), a former financial advisor who was permanently barred by FINRA in October 2025 after refusing to cooperate with regulators investigating allegations of unauthorized investment recommendations and conflicts of interest. If you invested with Eric Kleiner at Morgan Stanley, Wells Fargo, or […]

In a recent development, a customer has filed a complaint against John Lynde, a broker and investment advisor associated with Cetera Advisors LLC (CRD 10299). The allegation, which is currently pending resolution, revolves around an investment made in 2014 that the customer claims was inappropriate given their investment objectives and risk tolerance. The investment in

Haselkorn & Thibaut has launched an investigation into Adam Shipley (CRD# 6482848), a financial advisor based in Hermosa Beach, California, associated with Emerson Equity. If you’re an investor concerned about your financial accounts or past investment recommendations made by Mr. Shipley at Emerson Equity, this comprehensive report is for you. Here you’ll find an impartial

Haselkorn & Thibaut, a National Securities fraud law firm with over 50 years of experience, a 98% success rate, and millions recovered for investors, has initiated an investigation into Patterson, CA financial advisor Philip F. Chao (CRD 4568140), currently with Cetera Wealth Services, LLC. If you invested with Philip F. Chao and have concerns about

Christopher Baughan, a broker and investment advisor with LPL Financial LLC (CRD 6413), is currently facing allegations from a customer who claims that an investment made in 2013 was inappropriate for their investment objectives and risk tolerance. The customer dispute, filed on January 2, 2024, remains pending and involves a real estate security. According to