Financial Advisor Fraud

Haselkorn & Thibaut, P.A., operating as Investment Fraud Lawyers, has initiated an independent investigation into Jessica Y. Jung (CRD #4922155), a Brentwood, Tennessee-based financial advisor currently registered with Cambridge Investment Research and previously associated with Aegis Capital Corp. and LPL Financial LLC. We are leveraging our extensive former Wall Street defense experience to assess allegations […]

Haselkorn & Thibaut, P.A., operating as Investment Fraud Lawyers has formally opened an investigation into James R. Bernthal (CRD #4871243), a former broker registered with Aegis Capital Corp. in New York, NY. Our firm’s action comes in response to a pattern of investor inquiries and the discovery of publicly available information pointing to historical customer

Haselkorn & Thibaut Investigates Potential Investor Claims Involving Concorde Investment Services and Valeo Groupe Americas DST Investments Haselkorn & Thibaut is reviewing potential investor claims involving Concorde Investment Services LLC and investments issued or sponsored by Valeo Groupe Americas, including Epoch Huntsville DST, a Delaware Statutory Trust investment marketed to 1031 exchange investors. Epoch Huntsville

The Financial Industry Regulatory Authority (FINRA) has barred William Slattery (CRD No. 7739278) from associating with any FINRA member firm in any capacity. The sanction arose from findings related to Slattery’s conduct while taking the Series 66 qualification examination. FINRA accepted a Letter of Acceptance, Waiver, and Consent—AWC No. 2024083148501—on February 27, 2025. Slattery accepted

Haselkorn & Thibaut, P.A., operating as Investment Fraud Lawyers, has opened an independent investigation into the activities of Alan K. Ngo (CRD #4273116), a former financial advisor in Jackson, New Jersey, who was registered with PFS Investments, an affiliate of Primerica. Our attorneys are leveraging their insider knowledge as former Wall Street defense lawyers to