Investment Fraud Lawyers

B. Riley Wealth Management: Regulatory Disclosure Amid Falling Stock Price

Recent public disclosures in B. Riley’s SEC filings indicate the firm faces potential damage claims exceeding $8 million, alongside the above-mentioned pending FINRA Cause Examination. These disclosures includes various matters and allegations including claims alleging purported unsuitable investment recommendations to various other potential examples of financial advisor misconduct. Some examples in the public records include disclosures such […]

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Investment Advisor Joshua Swartz Faces Haselkorn & Thibaut Investigation Over Misconduct Allegations

Joshua Swartz, a registered investment advisor, is currently under investigation by Haselkorn & Thibaut, a national investment fraud law firm, following allegations of misconduct. The firm, with offices in Florida, New York, North Carolina, Arizona, and Texas, is offering free consultations to clients who may have suffered losses due to Swartz’s actions. Investment fraud and

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Robert Murphy From Invesco Implicated In Fund Misappropriation Allegations

Robert Murphy, a former registered representative of Invesco Distributors, Inc., has been implicated in an alleged misappropriation of funds totaling $30,000. The complaint, filed by a non-Invesco customer on February 8, 2024, claims that Murphy was involved in a scheme to steal funds from the customer and their associate in October 2021, prior to his

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Ronald Denova of Ameriprise Investigated by Haselkorn & Thibaut Over Unsuitable Investments

Amerprise Financial Services, LLC and its representative, Ronald Denova, are currently under investigation by the national investment fraud law firm, Haselkorn & Thibaut. The firm, with offices in Florida, New York, North Carolina, Arizona, and Texas, is looking into allegations of unsuitable investments made by Denova on behalf of a customer in 2014. Investment fraud

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Investigation Targets Jarrett Imamura and LPL Financial LLC Over Suitability Dispute

Jarrett Imamura, a broker and investment advisor associated with LPL Financial LLC, is currently facing a pending customer dispute, as reported on his FINRA BrokerCheck record (CRD #3036591). The national investment fraud law firm, Haselkorn & Thibaut, is investigating the advisor and company, offering free consultations to affected clients. Allegations Against Jarrett Imamura and LPL

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