Investment Fraud Lawyers

UBS Advisor Lands $1mm Investor Complaint

Did Thrivent Advisor Barry Hesse Neglect Sales Execution?

Arkansas financial advisor Barry Hesse‘s name rattled the financial world as he recently found himself on the wrong end of severe investor allegations. According to the Financial Industry Regulatory Authority (FINRA), these accusations stem from Hesse’s alleged failure to initiate sell orders on behalf of his clients, leading to unrealized market losses reaching a staggering […]

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Ex-Broker James Anglim Pays $488K in Massive Stock Manipulation Scandal!

The US Securities and Exchange Commission has charged James P. Anglim for his role in manipulating the market. Anglim is a New Jersey resident and a former registered representative at two US-based brokerage firms. Anglim facilitated the sale of stocks in at least five publicly traded companies. The SEC filed a complaint against Anglim at

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$1 Million Complaint Filed Against UBS Advisor Joe Katzaroff for Suitability Issues

Joe Katzaroff, a seasoned financial advisor hailing from Irvine, California (CRD#1811119), has a lengthy record in the industry, but it has not been without controversy. A certified broker and investment adviser affiliated with UBS Financial Services, he holds Financial Industry Regulatory Authority accreditations. Despite his credentials, Mr. Katzaroff has faced scrutiny following claims by investors

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Investor Complaint Against USCA Advisor Derek Su worth $2 Million

Noted Austin-based financial advisor Derek Su, associated with well-known firms including USCA Securities and US Capital Wealth Advisors, is facing an investor’s $2.2 million allegation. Su is alleged to have acted negligently, failed to execute his supervisory responsibilities, and breached his fiduciary responsibility concerning investments in several fiscal vehicles, including variable annuities, common and preferred

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Wells Fargo Broker Helen Caldwell Barred by FINRA – Investors May Recover Losses

Investment Losses with Helen Caldwell? Looking for a way to recover your hard-earned money? Look no further than Haselkorn & Thibaut, the leading investment fraud law firm. We specialize in fighting for investors Nationwide and have offices conveniently located in Florida, New York, North Carolina, Arizona, and Texas. With over 95 years of experience, we

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