Financial Advisor Fraud

Thomas Watts Of Edward Jones Faces Investigation Over Disputed Stock Purchase For Deceased Client’s Estate

Thomas Watts, a broker and investment advisor at Edward Jones, is currently facing allegations relating to the purchase of Standard Lithium, Ltd. stock on behalf of a deceased client’s estate. The claimant, acting as the personal representative of the estate, filed a pending customer dispute on January 22, 2024, as disclosed in Watts‘ FINRA BrokerCheck […]

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Haselkorn & Thibaut Investigates Brian Pfeiffer of Morgan Stanley Over Alternative Investment Allegations

Brian Pfeiffer, a broker and investment advisor with Morgan Stanley, is currently facing allegations of unsuitability with respect to alternative investments from December 2021 to January 2024. The customer dispute, filed on January 22, 2024, is currently pending resolution. Haselkorn & Thibaut, a national investment fraud law firm, is investigating the advisor and offering free

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James Raia Of Moloney Securities Co. Faces Investigation Over Allegations Of Unsuitability And Negligence

James Raia, a broker with Moloney Securities Co., Inc. (CRD 38535), faced allegations of unsuitability and negligence in a customer dispute filed on January 23, 2024. The complaint, which involved real estate securities, was later withdrawn by the client. Raia refuted the allegations of the initial claims, stating that the client withdrew their complaint. The

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Financial Advisor Lost My Money

Jesse Krapf Investigation: Red Flags and Regulatory Actions at Spartan Capital Securities

Haselkorn & Thibaut has opened an investigation into financial advisor Jesse Krapf following serious regulatory violations and multiple customer complaints that have raised significant concerns for investors. Our experienced securities attorneys are examining patterns of misconduct that may have resulted in substantial investor losses. FINRA Suspension for Excessive Trading Violations Jesse Krapf was suspended for

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Financial Advisor Lost My Money

Michael Archimede and PFS Investments: Findings, Red Flags & Investor Guidance

Haselkorn & Thibaut has opened an independent investigation into the conduct of financial advisor Michael Archimede, formerly registered with PFS Investments. Drawing on publicly available materials, FINRA disclosures, and investor filings, our firm is reviewing all complaints, disputes, and disciplinary events tied to Mr. Archimede. Background & Overview Michael Archimede (CRD # 5701306) was a registered broker and investment adviser with PFS Investments in

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