Financial Advisor Fraud

In a recent development, a customer has alleged that the sale of a variable annuity by Timothy Broyles, a broker associated with State Farm VP Management Corp. (CRD 43036), was not in their best interest. The complaint, filed on January 7, 2024, has resulted in an award/judgment, with the customer seeking damages of an undisclosed […]

Haselkorn & Thibaut has opened an investigation into John Lee, a financial advisor registered with Independent Financial Group in Pleasanton, California. If you’ve experienced investment losses while working with Lee Ng & Associates, understanding the pattern of complaints against this advisor could be crucial for protecting your financial future. Understanding John Lee’s Professional Background John

Paul Michael Carnahan – GWN Securities Inc. (Birmingham, MI): Investor Investigation & Review Haselkorn & Thibaut, a national investment fraud law firm, has opened an independent investigation into Paul Michael Carnahan, a financial advisor registered with GWN Securities Inc. (CRD: 5586975) in Birmingham, Michigan. If you worked with Mr. Carnahan, we encourage you to understand

Marvin Strozier, a broker and investment advisor associated with Dempsey Lord Smith, LLC, has been accused of forging a client’s signature on a variable annuity application, according to a recent disclosure on his FINRA BrokerCheck report. The customer dispute, filed on January 7, 2024, alleges that Strozier submitted the application without the client’s consent or

Haselkorn & Thibaut Opens Investigation into Tomer Mizrahi of Wells Fargo Advisors Following Morgan Stanley Resignation Haselkorn & Thibaut, a National Securities fraud law firm with over 95 years of experience, has opened an investigation into financial advisor Tomer Mizrahi, currently registered with Wells Fargo Advisors in Hackensack, New Jersey. This investigation follows concerning disclosures