Investigation Launched: Northern Trust Advisor Brent Penrose Faces Client Disputes
Investigation Launched: Northern Trust Advisor Brent Penrose Faces Client Disputes Read More »
Matthew Mitchell of Aegis Capital Corp. Under Investigation for Alleged Unauthorized Trading and Investor Risk Violations
Matthew Mitchell, a broker and investment advisor affiliated with Aegis Capital CORP. (CRD 15007) in New York, is facing serious allegations of unauthorized trading and inaccurate assessment of a client’s investment objectives and risk tolerance. The alleged misconduct occurred between January 2012 and May 2023, according to a recent disclosure on Mitchell’s FINRA BrokerCheck profile.
Fraud Law Firm Investigates Leticia Hewko After REIT Complaint at Independent Financial
Haselkorn & Thibaut, a national investment fraud law firm, has opened an investigation into Tustin, California financial advisor Leticia Hewko (CRD# 6211451) following a recent investor complaint alleging unsuitable investment recommendations. The complaint, filed with the Financial Industry Regulatory Authority (FINRA), claims that Ms. Hewko’s advice regarding non-traded real estate investment trusts (REITs) resulted in
Fraud Law Firm Investigates Leticia Hewko After REIT Complaint at Independent Financial Read More »
Law Firm Investigates William Blair Advisor Robert Rumley After Multiple Complaints
Haselkorn & Thibaut, a national investment fraud law firm, has opened an investigation into William Blair & Company financial advisor Robert J. Rumley III following concerning regulatory disclosures on his record. If you’ve invested with Mr. Rumley or have concerns about your account, understanding his background and regulatory history is crucial for protecting your financial
Law Firm Investigates William Blair Advisor Robert Rumley After Multiple Complaints Read More »
Inspired Senior Living Hamilton DST: Investment Losses and Legal Recourse for Investors
Haselkorn & Thibaut Investigates Potential Claims Against Financial Advisors Who Recommended Inspired Healthcare Capital DST Investments Recent developments involving Inspired Senior Living Hamilton DST and its sponsor, Inspired Healthcare Capital, have left many investors facing significant losses and halted distributions. As one of the most troubled Delaware Statutory Trust (DST) investments in the senior housing
Inspired Senior Living Hamilton DST: Investment Losses and Legal Recourse for Investors Read More »