Investment Fraud Lawyers

Cynthia Giovacchino (LPL Financial) Faces 4 Customer Complaints

Jesus Rodriguez, Morgan Stanley Financial Advisor, BARRED By FINRA

Accused of helping himself to $61K from the credit line of a client, former El Paso, Texas financial advisor from Morgan Stanley Jesus Rodriguez has been barred by the Financial Industry Regulatory Authority (FINRA) effective 29th November 2021. There are several customer disputes on his record. However, the FINRA sanctions were issued after his refusal […]

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Concorde Investment Services Investigated By Investment Fraud Lawyers

Haselkorn & Thibaut (InvestmentFraudLawyers.com) is actively investigating financial advisors’ sales practices, unsuitable investments, and supervisory practices at Concorde Investment Services. We have received many calls from investors have alleged to be improperly sold investment products that were later found to be unsuitable and high risk. Several have filed lawsuits (FINRA) claims against Concorde to recover

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Syndicated Conservation Easement Loss Recovery

Wealthy individuals wage a constant battle to reduce their burden of income tax. Private placements of syndicated conservation easements seemed to catch the fancy of investors around 2010, again, as a means of reducing their income tax liability. Investors have been asking questions regarding a syndicated conservation easement. Our initial investigation has caused many red

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Edward Turley Investigation Continues As JP Morgan Faces Millions in Fines

Edward Turley, a former top financial advisor from JP Morgan, is under investigation by Haselkorn & Thibaut for the handling of client accounts, sales practices, and company policies. Multiple clients of Mr. Turley have alleged they were sold products that were not suitable. Both JP Morgan and Turely were required by FINRA rules to make

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SagePoint Financial Fined 700K and Censured By FINRA

SagePoint Financial Advisors, a subsidiary of the Advisor Group, has been censured by the Financial Industry Regulatory Authority (FINRA) and a fine of $700K levied for failing to supervise brokers who had a misconduct history. According to a letter of acceptance, waiver, and consent (AWC) shared by FINRA, the findings in this case against SagePoint

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