Haselkorn & Thibaut has opened an investigation into Stamford, Connecticut advisor Ron Smith (CRD# 6038062), a financial professional recently barred by FINRA following his tenure at Spartan Capital and currently listed with Sanford C. Bernstein & Company and AllianceBernstein. Who is Ron Smith? Ron Smith is a financial advisor with 12 years of experience in […]
Haselkorn & Thibaut Initiates Investigation into Pasadena, CA Morgan Stanley Advisor Katy Yun Zhao (CRD 5264406) Haselkorn & Thibaut, a nationally recognized investment fraud law firm (investmentfraudlawyers.com), has opened an investigation into the activities of Katy Yun Zhao, a financial advisor registered with Morgan Stanley’s Pasadena, CA branch. With concerns arising from a recently settled
Haselkorn & Thibaut has opened an investigation into Irvine, California financial advisor Brian Lombardi (CRD# 4227216), currently registered with Boustead Securities and Sutter Securities. If you have invested with Brian Lombardi, it’s crucial to understand his regulatory background, the specific investor complaints on record, and potential red flags that could impact your investment experience. Who
David Nastri, a broker and investment advisor associated with LPL Financial LLC (CRD 6413) in Connecticut, is facing allegations from customers regarding an inappropriate investment made in 2014. The customers claim that the investment, a real estate security, was unsuitable for their investment objectives and risk tolerance. The case, filed on January 2, 2024, is
Haselkorn & Thibaut, a leading national investment fraud law firm, has initiated an investigation into Ian Christopher McElreath—a Tampa, FL-based former financial advisor most recently registered with Foreside Fund Services (now ACA Group). If you are an investor who worked with Ian McElreath or had accounts at any of his prior broker-dealer firms, this report