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 […]
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 The complaint, which involved real estate securities, was later withdrawn by the client.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
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
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
Michael Archimede and PFS Investments: Findings, Red Flags & Investor Guidance Read More »
In a recent development, a customer has alleged that Mackenzie Bekeza, an investment advisor representative (IAR), failed to make requested changes to their portfolio, resulting in missed opportunities and loss of gains. The customer further indicates that Mr. Bekeza failed to uphold his fiduciary responsibility. The dispute, which was filed on January 23, 2024, has