Financial Advisor Fraud Archives – Page 449 Of 453

National Securities Corporation Lawsuit “FINRA” Claims

Haselkorn & Thibaut (InvestmentFraudLawyers.com) is currently investigating National Securities Corporation for allegations of financial advisor malpractice. This is a national investigation involving the sales practices and product sales of investment products to clients. Anyone who invested with National Securities in encouraged to get a free investment portfolio review and consultation by the investment fraud lawyers […]

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Cuso Financial Services Investigated By Investment Fraud Lawyers

The law firm of Haselkorn & Thibaut, P.A., a national investment fraud law firm, has initiated an investigation into Gerald T. (“JT”) Coyne and Cuso Financial Services, L.P. This San Diego, CA-based firm is currently under scrutiny due to three disclosures related to regulatory events, as documented on the Financial Industry Regulatory Authority’s (FINRA) Brokercheck.

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Brian Engstrom | Stifel, Nicolaus & Co: SUSPENDED

Haselkorn & Thibaut, P. A., is investigating potential sales practice and supervision issues related to a former financial advisor, Brian Engstrom who was previously with Oppenheimer & Co., Inc. (2002-2016) and with Stifel, Nicolaus & Company (2016-2020) in Tampa, FL. The attorneys of Haselkorn & Thibaut have been investigating potential sales practice and supervision issues

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Chad Burroughs and Burroughs Investment Group

Chad Burroughs, Former Lincoln Investment Advisor, Sentenced

Update: Chad Burroughs, according to 4/17/20 reports at Hartford Business Journal, was sentenced to 33 months in prison, to be followed by three years of supervised release. This stems from his misappropriation of $575,000 from his investment clients. He is currently free on a $100,000 bond and expected to report to prison on June 1,

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Alex James Former Allstate and Voya Financial Advisor Investigation

Haselkorn & Thibaut, P. A., is investigating potential sales practice and supervision issues related to former financial advisor, Alexander (Alex) James who was previously employed with Allstate Financial Services (2017-2020) in West Palm Beach, FL and with Voya Financial Advisors (2012 – 2017) in Palm Beach Gardens, FL. The attorneys of Haselkorn & Thibaut, P.A.

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