Haselkorn & Thibaut, P.A. — former Wall Street defense lawyers with 95 years of combined experience — is actively investigating losses suffered by investors in the Pacific Oak Strategic Opportunity REIT (formerly known as the Resource Real Estate Opportunity REIT). If you or someone you know invested in this non-traded real estate investment trust and […]
FINRA censures Cape Securities for Reg BI failures in GWG L bond and leveraged ETF sales to senior investors, ordering $145,072 in restitution.
Cape Securities ordered to pay $145,000 in restitution over GWG L bond sales failures Read More »
Haselkorn & Thibaut, P.A., operating as Investment Fraud Lawyers, has formally opened an investigation into Mohammed Karim (CRD# 4419277), a former financial advisor based in Lakeland, Florida, who was most recently registered with Truist Investment Services. Our firm’s action comes in response to a growing body of regulatory disclosures and alleged misconduct documented in official
Mohammed Karim Investigation Linked to Truist Investment Services Disclosures Read More »
Haselkorn & Thibaut, P.A., operating as Investment Fraud Lawyers, has opened an investigation into recent allegations against Steven Goethel (CRD# 5861475), a financial advisor and broker registered with Merrill Lynch in Jupiter, Florida. We understand the gravity of potential investment losses and know firsthand how overwhelming it can be for investors facing confusing or inadequate
Steven Goethel of Merrill Lynch Faces Investor Complaint Over Alternative Investments Read More »
The numbers are in, and they tell a story every investor should hear: the Financial Industry Regulatory Authority (FINRA) brought 44 formal enforcement actions involving Regulation Best Interest violations in 2025 — more than double the 21 cases filed in 2023 and a significant jump from the 38 cases in 2024. Those 44 actions named
FINRA Reg BI Enforcement Surged in 2025 — What Investors Need to Know Read More »