Financial Advisor Fraud

Haselkorn & Thibaut, P.A., operating as Investment Fraud Lawyers, has opened a formal investigation into David George Joyce (CRD #2665998), a former registered broker associated with Carnes Capital Corporation in Naples, Florida. Our firm frequently investigates financial advisors whose records indicate regulatory or disciplinary concerns, particularly those involving violations of investor trust, industry transparency, or […]

FINRA, SEC, and FinCEN jointly fined UBS $125 million for failing to detect suspicious money movement in customer accounts—the second AML enforcement action against UBS in seven years. Investors may have recovery claims.

Haselkorn & Thibaut, P.A., operating as Investment Fraud Lawyers, has formally opened an investigation into David Brian Salisbury (CRD #4047174), a broker currently registered with LPL Enterprise, LLC. Investors deserve full transparency from financial advisors, and as former Wall Street defense attorneys, we leverage years of insider knowledge to independently assess allegations of misconduct, suitability

Aaron Pierce Sevigny, a registered representative with CRD number 4314368, is registered with United Planners Financial Services. His BrokerCheck record contains a disclosure that investors should review.

Alan K. Ngo, a former PFS Investments representative with CRD number 4273116, was barred by FINRA for refusing to cooperate with an investigation into possible selling away.