Investment Fraud Lawyers

NEXT Financial Group FINED For Non-Traded REITS

NEXT FINANCIAL GROUP was fined a total of $385,000 in late 2019 for sales practice issues and supervision failures related to non-traded REIT sales. In two states, the Massachusetts securities regulators as well as New Hampshire state securities regulators collectively leveled fines totaling $385,000 against NEXT FINANCIAL GROUP, while also ordering restitution to some. According to the […]

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Is FINRA Doing Enough to Steer Finra Investors Bad Brokers

Recently, there has been a debate about whether the securities industry is doing enough to get rid of bad brokers. People are also wondering if U.S. regulators are doing everything possible to accomplish the same goal. The core of the argument is based on some recent studies that have been released, which reveal a higher

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Voya Financial Advisor Jim Flynn Barred – Complaints and Investigation

Voya Financial Advisor James Travis Flynn (Jim Flynn) of Greenville, South Carolina, and his former employers are currently under investigation by Haselkorn & Thibaut. It is being reported that Voya Financial may have also failed in effectively supervising Mr. James. The Post and Courier of Greenville and Investment News yesterday reported that Mr. Flynn has

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Oaktree REIT Net Asset Value Lowered “FINRA” Lawsuit

Haselkorn & Thibaut has recently received many complaints from investors involving improper recommendations of high-risk non-traded REIT investments like Oaktree REIT by broker-dealers. Many investors are not familiar with the risks associated with these investments before buying them, or worse, trying to sell these types of investments and getting paid “pennies on the dollar.” Anyone

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Newbridge Securities Broker Marshall Isaacson Barred By FINRA over Unsuitability Claims

In 2019 alone, Marshal Isaacson had four customer complaints registered against him for financial misconduct. Marshall Isaacson, an ex-broker at Newbridge Securities based in Boca Raton, Florida, was recently barred by The Financial Regulatory Authority (FINRA). According to several reports, Isaacson has been accused of making unsuitable investment recommendations without paying heed to investor’s risk

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