Haselkorn & Thibaut ( have over 100 years of collective handling securities matters for institutions and individuals. Their expertise includes legal and regulatory issues related to broker-dealers, investment advisors, and individual professionals in the financial services industry.

The Investment Loss Recovery Team has been dedicated to representing individual and institutional investors to recover investment losses nationwide. The Investment Loss Recovery Team handles regulatory issues that arise, whether in arbitration, in state or federal court, or before regulators such as the Financial Industry Regulatory Authority (FINRA), the Securities and Exchange Commission (SEC), the Florida Department of Financial Services, or others.

Know More: UBS Yield Enhancement Strategy

Securities Litigation Matters

The securities department is prepared to counsel or assist market participants in large and complex matters involving:

  • Annuities
  • Bonds
  • Breach of contract
  • Breach of fiduciary duty
  • Derivatives
  • Equities
  • Exchange traded funds
  • Fraud
  • Hedge funds
  • Hedging strategies
  • Life insurance
  • Managed portfolios
  • Mutual funds
  • Negligence
  • Non-compete agreements
  • Options
  • Pension benefits
  • Private placements
  • Product cases
  • Promissory notes
  • Selling away
  • Structured products
  • Suitability
  • Unit investment trusts
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