Financial Advisor Fraud

Joe Gamez, Raymond James Financial Advisor, Barred Following Alleged Misconduct – San Antonio, Texas Haselkorn & Thibaut has opened an investigation into recent events concerning Joe Gamez (CRD# 4292479), a former San Antonio-based financial advisor most recently registered with Raymond James Financial Services. This report provides a clear, step-by-step overview of Mr. Gamez’s regulatory history, […]

Haselkorn & Thibaut is investigating allegations against Matthew Copley, a San Diego-based financial advisor registered with Emerson Equity and operating Copley Financial Group. Recent disclosures on his FINRA BrokerCheck record list two pending investor complaints filed in September 2025 that raise concerns about his business practices and compliance with fiduciary and consumer-protection obligations. These are

Investigation Launched into Houston Financial Advisor Raphael Fernando Following Multiple Investor Complaints Haselkorn & Thibaut has opened an investigation into Houston-based financial advisor Raphael Fernando (CRD# 4469669) following more than 70 investor complaints filed against him. The national investment fraud law firm is examining allegations of unsuitable investment recommendations and potential misconduct related to real

Investigation Alert: Soyoung Yom and NYLife Securities Under Scrutiny Haselkorn & Thibaut has opened an investigation into Los Angeles financial advisor Soyoung Yom and her practices at NYLife Securities following a recent investor complaint that raises questions about her business conduct and disclosure practices. If you’ve worked with Soyoung Yom or have concerns about variable

Gary Costello, a former broker and investment advisor at Aegis Capital CORP. (CRD 15007), has been accused of executing unauthorized trades in a client’s account during early 2023. The client, who was an authorized party to the account, discovered the alleged misconduct after reviewing account statements. The dispute was settled on January 4, 2024. Unauthorized