Financial Advisor Fraud

Haselkorn & Thibaut, a national investment fraud law firm, has opened an investigation into Eugene Cebron Thompson IV, also known as “Bron” Thompson, a financial advisor currently registered with Capital Investment Group, Inc. and Capital Investment Advisory Services, LLC in Dunn, North Carolina. If you’ve invested with Mr. Thompson and have concerns about your account, […]

Joel Freedman, a former broker at Morgan Stanley, has been accused of executing unauthorized trades in a client’s account between 2023 and 2024. The client has alleged that Freedman made trades in their account without proper consent or authorization, violating FINRA Rule 2010, which requires brokers to observe high standards of commercial honor and just

In a recent development, Christopher Wright, a broker and investment advisor associated with Realta Equities, Inc. (CRD 23769) in Arizona, is facing allegations of breach of fiduciary duty, violation of NASD and NYSE rules, breach of contract, negligence, and negligent supervision. The customer dispute, filed on January 24, 2024, is currently pending resolution and involves