Financial Advisor Fraud

Investigation Opened: Steve Brundage and Ameriprise Financial Services Face Million-Dollar Investor Complaint Haselkorn & Thibaut has opened an investigation into Las Vegas financial advisor Steve Brundage following a recent investor complaint seeking over $1.2 million in damages. If you’ve experienced investment losses while working with Mr. Brundage or Ameriprise Financial Services, you may have options […]

Tony Barouti, a broker currently employed by Emerson Equity LLC, is facing serious allegations of violating federal and state securities laws, engaging in unfair and fraudulent business practices, breaching contracts and fiduciary duties, and committing negligence and gross negligence. The customer dispute, filed on January 8, 2024, is currently pending resolution. According to the disclosure

Haselkorn & Thibaut Launches Investigation: Ernie Walter Kloock of UBS Financial Services Inc. in Paramus, NJ Are you an investor who worked with Ernie Walter Kloock (CRD 3114944), a financial advisor based in Paramus, New Jersey and currently registered with UBS Financial Services Inc.? Haselkorn & Thibaut, a national law firm trusted by thousands of

In a recent development, Kay Johnson, a broker associated with ONESOURCE FI LLC (CRD 310933) and ALLIED MILLENNIAL PARTNERS, LLC (CRD 16569), has been named as one of 17 respondents in a pending customer dispute alleging failure to supervise. The disclosure, dated January 8, 2024, involves equity listed (common & preferred stock) products, with the

Investigation Alert: David Waal of Emerson Equity Faces Serious Investor Complaint Haselkorn & Thibaut, a national investment fraud law firm with over 95 years of experience and a 98% success rate, has opened an investigation into Irvine, California financial advisor David Waal (CRD# 1226437) and his current firm Emerson Equity. This investigation follows a recent