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 […]
Is FINRA Doing Enough to Steer Finra Investors Bad Brokers Read More »
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
Voya Financial Advisor Jim Flynn Barred – Complaints and Investigation Read More »
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
Oaktree REIT Net Asset Value Lowered “FINRA” Lawsuit Read More »
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
Newbridge Securities Broker Marshall Isaacson Barred By FINRA over Unsuitability Claims Read More »
Haselkorn & Thibaut recently announced that it is moving forward with its probe into broker-dealers that unsuitably recommended KBS Growth & Income REIT to investors. The investigation is a great step forward for investors that lost their money by investing in the REIT. This is because it means they can potentially get recover the losses
KBS Growth & Income REIT Lawsuit “FINRA” Read More »