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 […]
Brian Engstrom | Stifel, Nicolaus & Co: SUSPENDED Read More »
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,
Chad Burroughs, Former Lincoln Investment Advisor, Sentenced Read More »
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.
Alex James Former Allstate and Voya Financial Advisor Investigation Read More »
Our offer to conduct a free case evaluation and intake process will help you identify all of the potential parties that might be responsible for all or part of your investment losses and we will help you come up with a strategy to recover those losses, which may include initiating formal action – typically, an
Sue Financial Advisor For Losses Read More »
According to the Financial Industry Regulatory Authority (FINRA) Brokercheck, former Merrill Lynch Financial Advisor, Linan Abrego was barred by FINRA for her failure to cooperate with securities regulators in not appearing for on-the-record testimony that was part of FINRA’s investigating allegations that she misappropriated client funds. Linan Abrego was discharged by Merrill Lynch in June
Linan Abrego, Merrill Lynch Financial Advisor, Barred For Misappropriating Client Funds Read More »