Investment Fraud Lawyers

LPL Financial Fined $3 Million By FINRA. Is LPL Financial in trouble?

Are you curious if LPL Financial is a good company because it was recently fined $3 million by FINRA? This Fortune 500 firm, boasting over $1 trillion in both investment advisory services and brokerage client assets, has been facing some headwinds lately. Haselkorn & Thibaut (InvestmentFraudLawyers.com) is currently investigating LPL Financial Holdings and Financial advisors. […]

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David Lerner Associates: Energy 11, Energy 12, Spirit of America Energy Funds Lawsuits

David Lerner Associates Investor Recovery Options

Investing can be incredibly lucrative, but it’s coupled with a plethora of risks concerning loss and unexpected mishaps. For numerous reasons, David Lerner Associates (DL) has been spotlighted with various investigations and some serious allegations. But why have they gained such negative attention in recent times? Our firm currently represents investors that have filed FINRA claims

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Investment Fraud Lawyers Investigating $1.6M Complaint Against Damon Stewart of Morgan Stanley

The world of investments is often a gamble that can lead to significant losses when your broker doesn’t manage your money as effectively as they should. The latest case in point is Damon Stewart, a broker and investment advisor at Morgan Stanley, who is currently facing a substantial customer complaint. So, what does this mean

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Broker Robert Gerstein Suspended by FINRA for Investment Misconduct

Robert Gerstein, a broker and investment advisor at Merrill Lynch, has been suspended by the Financial Industry Regulatory Authority (FINRA) due to allegations of misconduct. The suspension comes after Gerstein was accused of recommending short-term trading of securities meant to be held long-term and marking solicited sale transactions as unsolicited. These actions violated FINRA rules

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UBS Advisor Lands $1mm Investor Complaint

Matt Engelau (LPL Financial Advisors) Denies Complaint From Investor On ETF

Mixed allegations spring forth in Hackettstown, New Jersey, against financial advisor Matt Engelau (CRD# 5233851), with an investor complaint citing his conduct led to monetary losses. These disputes are indeed cause for concern, but why does it matter to you as the investor? Mr. Engelau, operating under the reputed LPL Financial, faces a single investor

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