Broker Fraud

Chad Burroughs and Burroughs Investment Group

Lester “Chad” Burroughs at Lincoln Investment Accused of Ponzi Scheme

Financial Advisor Lester “Chad” Burroughs has been registered with Lincoln Investment in Torrington, CT since 2012, he has previously disclosed fourteen customer disputes according to the Financial Industry Regulatory Authority (FINRA) Brokercheck disclosures on his record, along with a regulatory disclosure referring to a fine that was imposed by the Insurance Commissioner in the State …

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Linan Abrego, Merrill Lynch Financial Advisor

Linan Abrego, Merrill Lynch Financial Advisor, Barred For Misappropriating Client Funds

According to the Financial Industry Regulatory Authority (FINRA) Brokercheck, former Merrill Lynch Financial Advisor, Linan Abrego was barred by FINRA for her failure to cooperate with securities regulators in not appearing for on-the-record testimony that was part of FINRA’s investigating allegations that she misappropriated client funds. Linan Abrego was discharged by Merrill Lynch in June …

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Centaurus Financial

Centaurus Financial – David Crane – Investment Fraud Investigation

[et_pb_section fb_built=”1″ admin_label=”section” _builder_version=”3.22″][et_pb_row admin_label=”row” _builder_version=”3.25″ background_size=”initial” background_position=”top_left” background_repeat=”repeat”][et_pb_column type=”4_4″ _builder_version=”3.25″ custom_padding=”|||” custom_padding__hover=”|||”][et_pb_text admin_label=”Text” _builder_version=”4.0.4″ background_size=”initial” background_position=”top_left” background_repeat=”repeat” hover_enabled=”0″] Haselkorn & Thibaut, a national investment fraud law firm, is currently investigating David Crane and Centaurus Financial, Inc for broker and investment fraud.  Centaurus Financial is headquartered in Anaheim, CA and conducts business nationwide through 650 …

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Paul Mauro SagePoint Financial

Paul Mauro SagePoint Financial Claims Investigation

Haselkorn & Thibaut law offices (InvestmentFraudLawyers.com) are investigating broker Paul Mauro and SagePoint Financial from Westborough, Massachusetts. According to the BrokerCheck report, Mauro was subject to nine customer disputes, two regulatory actions, and one criminal matter during his career.   InvestmentFraudLawyers.com is currently investigating SagePoint also regarding it’s sale of GPB Capital to investors. According to …

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Harvest Volatility Management Collateral Yield Enhancement Strategy

Harvest Volatility Management Collateral Yield Enhancement Strategy -Harvest CYES

Haselkorn & Thibaut, P.A., (InvestmentFraudLawyers.com) has announced its investigation into the Harvest Volatility Management Collateral Yield Enhancement Strategy (“Harvest CYES”) that Merrill Lynch Wealth Management’s customers purchased. Merrill Lynch is a division of Bank of America Corp. (NYSE: BAC) that offers broker-dealer services. Harvest CYES was sold to Merrill Lynch’s brokerage customers as a managed …

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Janney Montgomery Scott Claims

Janney Montgomery Scott Claims Investigated For Churning High-Fee Mutual Funds

William Galvin, Secretary of the Commonwealth in Massachusetts, has charged Janney Montgomery Scott claims with high trading activities and churning high-fee mutual funds in a complaint that was filed on the 7th of May 2019. In the complaint, a former representative of Janney, Stephen Querzoli, from June 2012 to November 2018, he was selling Class …

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Dawson James Securities

Dawson James Securities

Dawson James Securities is based in Boca Raton, Florida.  As a broker-dealer registered with the Financial Industry Regulatory Authority (FINRA), Dawson James Securities is required to adopt and implement written supervisory procedures designed to ensure that it is properly and reasonably supervising its financial advisors.  In the past, Dawson James Securities has been censured and …

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Barry Garapedian Morgan Stanley

Barry Garapedian Morgan Stanley – Investment Fraud Investigation

Barry Garapedian (CRD #1039251) is registered as a broker with Morgan Stanley (CRD #149777) located in Westlake Village, California. He started working in 1982 and joined Morgan Stanly in 2009. Before that time, he has worked with Citigroup Global Markets (CRD #7059), E.F. Hutton & Company (CRD #235) and Lehman Brothers (CRD #7506). Cases of …

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LPL Financial Complaints Investigation: Jim Booth Barred

The Financial Industry Regulatory Authority Inc. (FINRA) has barred Jim Booth from LPL Financial who cheated clients out of more than $1 million for a period of five years.  Haselkorn & Thibaut, investment fraud lawyers, have begun a formal investigation into Mr. Booth and are following several other LPL Financial complaints. Booth was a former …

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