Financial Advisor Fraud

J.P. Morgan Securities just took another hit from regulators. In a recent settlement with FINRA (AWC No. 2020067014002), the firm agreed to sanctions over compliance and supervision failures that fell short of industry rules and investor expectations. While the firm settled without admitting or denying the findings, the case adds to a growing pattern of […]

Haselkorn & Thibaut has opened an investigation into Mac McIntyre, an Oakbrook Terrace, Illinois financial advisor currently registered with B. Riley Wealth (CRD# 2839149). If you are an investor with concerns about your portfolio or have questions regarding the handling of your investments, this overview is designed to keep you informed, help you spot warning

Haselkorn & Thibaut, a national investor loss law firm, has initiated an inquiry into Chris Mavrakos of Safety Harbor, Florida, who is currently registered as a broker with LPL Financial and as an investment advisor with MFP Financial Services. With over 50 years of experience and a 98% success rate, Haselkorn & Thibaut has recovered

Haselkorn & Thibaut, a nationally recognized law firm focusing exclusively on investment fraud, has officially launched an independent investigation into Stephen Scott, a San Antonio, Texas-based financial advisor registered with Morgan Stanley (CRD# 5553385). Our goal is to provide investors with transparent, up-to-date information about Mr. Scott’s professional background, regulatory history, and any potential red

Haselkorn & Thibaut, a nationally recognized law firm focused on securities fraud and investment loss recovery, has launched an investigation into Ken Vercellino (CRD# 2583864), a San Francisco-based financial advisor registered with Raymond James & Associates, Inc. Investors in California or across the United States who have concerns or have experienced investment losses involving this