Financial Advisor Fraud

A California-based broker-dealer learned a costly lesson about customer due diligence this spring. FINRA announced on May 5, 2026, that Moody Capital Solutions, Inc. had been censured and fined $50,000 for repeated violations of anti-money laundering (AML) supervision rules between January 2021 and September 2024. The settlement highlights how even small firms face steep penalties […]

Haselkorn & Thibaut, P.A., operating as Investment Fraud Lawyers, has initiated an independent investigation into Alan Ngo (CRD# 4273116), a former broker with PFS Investment Services (FINRA BrokerCheck system, this disciplinary action followed a failure to cooperate in an official regulatory investigation. Letter of Acceptance, Waiver, and Consent (AWC #2026088818101): Filed in May 2026, this

Haselkorn & Thibaut, P.A., operating as Investment Fraud Lawyers has launched an independent investigation regarding Melissa Dixon (CRD# 5193232) of Fort Collins, Colorado. As concerned advocates for wronged investors, our firm is committed to examining potential misconduct or red flags surrounding financial advisors, including reviews of regulatory actions, complaints, and business practices. If you worked

Haselkorn & Thibaut, P.A., operating as Investment Fraud Lawyers, has initiated a formal investigation into Newport Beach, California financial advisor Vanessa Ly (CRD# 4664226). As former Wall Street defense attorneys, we use our insider knowledge and 95+ years of combined securities law experience to represent and fight for investors who have suffered financial losses. A

Haselkorn & Thibaut, P.A., operating as Investment Fraud Lawyers, has launched an independent investigation into Chicago financial advisor Tim Marshall (CRD# 2037031), currently with Quincy Wells Capital and formerly registered with Great Point Capital. Investors who may have suffered losses related to investment recommendations by Mr. Marshall—especially involving Delaware Statutory Trusts (DSTs) in connection with