The numbers are in, and they tell a story every investor should hear: the Financial Industry Regulatory Authority (FINRA) brought 44 formal enforcement actions involving Regulation Best Interest violations in 2025 — more than double the 21 cases filed in 2023 and a significant jump from the 38 cases in 2024. Those 44 actions named […]
FINRA Reg BI Enforcement Surged in 2025 — What Investors Need to Know Read More »
Haselkorn & Thibaut, P.A., operating as Investment Fraud Lawyers, has initiated an investigation into Prescott, Arizona-based financial advisor Mark Yadron (CRD# 1520648). Investors working with Kestra Investment Services (d/b/a American Wealth Management) are encouraged to review recent developments concerning Mr. Yadron’s professional history, including multiple formal investor complaints and the suitability of recommendations made under
Mark Yadron of Kestra Investment Services Faces Investor Complaint Review Read More »
Cape Securities Censured by FINRA Over GWG L Bond and NT-ETP Sales Key Takeaway: Cape Securities Inc. has been censured by FINRA and ordered to pay $145,072.62 in partial restitution for failing to supervise representatives who recommended high-risk GWG L Bonds and complex leveraged exchange-traded products to retail customers — including seniors with moderate risk
Cape Securities Censured by FINRA Over GWG L Bond and NT-ETP Sales Read More »
Haselkorn & Thibaut, P.A., operating as Investment Fraud Lawyers, has watched the cryptocurrency fraud landscape evolve from amateurish Ponzi schemes to sophisticated, multi-platform operations that steal hundreds of millions of dollars. Our partners are former Wall Street defense attorneys. They understand how securities fraud works at the institutional level — and they recognize that the
Haselkorn & Thibaut, P.A., operating as Investment Fraud Lawyers, has launched a dedicated investigation into Kenneth Joseph Arena (Ken Arena), a financial advisor in Pompano Beach, Florida, currently with Cetera Wealth Services, LLC. Our firm is focused on helping investors who have suffered losses in accounts managed or advised by Ken Arena recover their funds