Financial Advisor and Stockbroker Fraud

Carlton & Associates | Mark Lamkin | LPL Financial- Investigation For Investor Fraud

Mark Lamkin | Carlton & Associates | LPL Financial Claims For Investor Fraud

Mark Lamkin was registered LPL Financial LLC (2001-2018) and with Calton & Associates, Inc. (2018 to present) in Louisville, KY.  According to the Financial Regulatory Authority (FINRA) BrokerCheck (as of May 2020), Mr. Lamkin has been the subject of 7 disclosures and is currently suspended by FINRA from acting as a financial advisor. In 2000, …

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Gene Esplin From Kalos Capital - Lawsuit FINRA

Gene Esplin From Kalos Capital – Lawsuit “FINRA”

Haselkorn & Thibaut is investigating potential sales practice and supervision issues related to a financial advisor, Gene Esplin, who was previously with Kalos Capital, Inc. (2015-2019), and with Triad Advisors, Inc. (2008-2015) in Pocatello, ID. The lawyers of Haselkorn & Thibaut, P.A. at investmentfraudlawyers.com have been investigating potential sales practice and supervision issues relating to …

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Business Development Corporation of America (BDCA)

Business Development Corporation of America (BDCA) Lawsuit “FINRA”

The Business Development Corporation of America (BDCA) is a non-traded business development company (a BDC) that focuses on senior secured loans with middle-market companies. A non-traded BDC does not trade like a stock or a bond on a national exchange. It is generally considered a risky, complex, illiquid, private placement alternative investment. Notwithstanding the recent …

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AMC Entertainment Holdings Lawsuit

AMC Entertainment Holdings (AMC) Lawsuit “FINRA”

Financial advisors that sold AMC Entertainment Holdings, Inc. (AMC) to their clients are being investigated by Haselkorn & Thibaut, P.A., nationwide investment fraud law firm, for possible sales practice violations by financial advisors who have been recommending AMC and associated real estate investment trust (REIT) investments offered to investors. The current trading in AMC is …

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National Securities Corporation Lawsuit "FINRA" Claims

National Securities Corporation Lawsuit “FINRA” Claims

Haselkorn & Thibaut (InvestmentFraudLawyers.com) is currently investigating National Securities Corporation for allegations of financial advisor malpractice. This is a national investigation involving the sales practices and product sales of investment products to clients. Anyone who invested with National Securities in encouraged to get a free investment portfolio review and consultation by the investment fraud lawyers …

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Brian Engstrom Stifel, Nicolaus Co

Brian Engstrom | Stifel, Nicolaus & Co: SUSPENDED

Haselkorn & Thibaut, P. A., is investigating potential sales practice and supervision issues related to a former financial advisor, Brian Engstrom who was previously with Oppenheimer & Co., Inc. (2002-2016) and with Stifel, Nicolaus & Company (2016-2020) in Tampa, FL. The attorneys of Haselkorn & Thibaut have been investigating potential sales practice and supervision issues …

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Chad Burroughs and Burroughs Investment Group

Chad Burroughs, Former Lincoln Investment Advisor, Sentenced

Update: Chad Burroughs, according to 4/17/20 reports at Hartford Business Journal, was sentenced to 33 months in prison, to be followed by three years of supervised release.  This stems from his misappropriation of $575,000 from his investment clients.  He is currently free on a $100,000 bond and expected to report to prison on June 1, …

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AXA Advisors Lawsuit Complaints FINRA

AXA Advisors Lawsuit “FINRA”

According to publicly available information, AXA Advisors generates hundreds of millions of dollars in revenue from the sale of variable annuities.  While variable annuity products as part of an overall investment strategy for some investors might serve a legitimate purpose, these products have received a lot of criticism: some calling them ‘one of the most …

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Complaint Against Financial Advisor

Alex James Former Allstate and Voya Financial Advisor Investigation

Haselkorn & Thibaut, P. A., is investigating potential sales practice and supervision issues related to former financial advisor, Alexander (Alex) James who was previously employed with Allstate Financial Services (2017-2020) in West Palm Beach, FL and with Voya Financial Advisors (2012 – 2017) in Palm Beach Gardens, FL. The attorneys of Haselkorn & Thibaut, P.A. …

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Can I Sue My Financial Advisor for Malpractice

How to Sue Financial Advisor to Recover Investment Losses

Too often, investors lose money in the stock market and don’t know what to do. The common question we receive is, “Can I sue my financial advisor?” The answer is yes. You can sue your financial advisor to recover losses. One of the common reasons for financial advisor malpractice is the sale of investment products …

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