Financial Advisor Fraud

Haselkorn & Thibaut, P.A., operating as Investment Fraud Lawyers, has initiated an investigation into Prescott, Arizona-based financial advisor Mark Yadron (CRD# 1520648). Investors working with Kestra Investment Services (d/b/a American Wealth Management) are encouraged to review recent developments concerning Mr. Yadron’s professional history, including multiple formal investor complaints and the suitability of recommendations made under […]

Cape Securities Censured by FINRA Over GWG L Bond and NT-ETP Sales Key Takeaway: Cape Securities Inc. has been censured by FINRA and ordered to pay $145,072.62 in partial restitution for failing to supervise representatives who recommended high-risk GWG L Bonds and complex leveraged exchange-traded products to retail customers — including seniors with moderate risk

Haselkorn & Thibaut, P.A., operating as Investment Fraud Lawyers, has launched a dedicated investigation into Kenneth Joseph Arena (Ken Arena), a financial advisor in Pompano Beach, Florida, currently with Cetera Wealth Services, LLC. Our firm is focused on helping investors who have suffered losses in accounts managed or advised by Ken Arena recover their funds

Haselkorn & Thibaut, P.A., operating as Investment Fraud Lawyers, has opened an independent investigation into Andy Martz (CRD# 5118326), a financial advisor based in Southlake, Texas, currently registered with LPL Financial and doing business as WIS Advisors. Our firm’s investigation focuses on potential red flags, past customer complaints, and regulatory matters related to Mr. Martz’s