In a recent development, Kay Johnson, a broker associated with ONESOURCE FI LLC (CRD 310933) and ALLIED MILLENNIAL PARTNERS, LLC (CRD 16569), has been named as one of 17 respondents in a pending customer dispute alleging failure to supervise. The disclosure, dated January 8, 2024, involves equity listed (common & preferred stock) products, with the […]
Haselkorn & Thibaut, P.A. (InvestmentFraudLawyers.com) is monitoring FINRA’s recently announced censure and $650,000 fine against EFG Capital International, a Miami-based broker-dealer, for recurring anti-money laundering (AML) compliance breakdowns. While EFG resolved the matter without admitting or denying the findings, the action marks the second significant AML-related sanction against the firm in recent years and raises
Investigation Alert: David Waal of Emerson Equity Faces Serious Investor Complaint Haselkorn & Thibaut, a national investment fraud law firm with over 95 years of experience and a 98% success rate, has opened an investigation into Irvine, California financial advisor David Waal (CRD# 1226437) and his current firm Emerson Equity. This investigation follows a recent
Comprehensive Review: Thomas G. Justice (San Mateo, CA) — Emerson Equity LLC Haselkorn & Thibaut, a nationally recognized securities law firm, has launched an investigation into Thomas G. (Gary) Justice (CRD #2786145), a registered representative located in San Mateo, CA, and currently employed by Emerson Equity LLC (CRD #130032). If you have invested with Mr.
Securities Law Firm Investigates Thomas G. Justice of Emerson Equity LLC Read More »
Philippus Van Staden and Green Vista Capital, LLC are facing serious allegations of unsuitability, breach of fiduciary duty, and fraud in connection with conservation easement investments and notes. On January 8, 2024, a customer dispute was filed against Van Staden (CRD# 4489166) and his firm, Green Vista Capital, LLC (CRD# 293630), based in Florida. The