Haselkorn & Thibaut, P.A., operating as Investment Fraud Lawyers, has opened an investigation into recent allegations against Steven Goethel (CRD# 5861475), a financial advisor and broker registered with Merrill Lynch in Jupiter, Florida. We understand the gravity of potential investment losses and know firsthand how overwhelming it can be for investors facing confusing or inadequate […]

The numbers are in, and they tell a story every investor should hear: the Financial Industry Regulatory Authority (FINRA) brought 44 formal enforcement actions involving Regulation Best Interest violations in 2025 — more than double the 21 cases filed in 2023 and a significant jump from the 38 cases in 2024. Those 44 actions named

Haselkorn & Thibaut, P.A., operating as Investment Fraud Lawyers, has initiated an investigation into Prescott, Arizona-based financial advisor Mark Yadron (CRD# 1520648). Investors working with Kestra Investment Services (d/b/a American Wealth Management) are encouraged to review recent developments concerning Mr. Yadron’s professional history, including multiple formal investor complaints and the suitability of recommendations made under

Cape Securities Censured by FINRA Over GWG L Bond and NT-ETP Sales Key Takeaway: Cape Securities Inc. has been censured by FINRA and ordered to pay $145,072.62 in partial restitution for failing to supervise representatives who recommended high-risk GWG L Bonds and complex leveraged exchange-traded products to retail customers — including seniors with moderate risk