Financial watchdogs have caught another firm breaking the rules. FINRA, the group that polices brokers, recently took action against David Lerner Associates Inc. (DLA) and several of its representatives. The firm pushed unsuitable energy-focused limited partnerships to retail investors between January 2015 and November 2019. We want to explain what happened and why it matters […]
We would like to bring to your attention important information regarding Aramis Perez, a financial advisor associated with Wells Fargo Clearing Services, LLC. Our legal team at Haselkorn & Thibaut is currently reviewing a customer complaint filed against Mr. Perez. On June 24, 2024, an investor reported that Mr. Perez allegedly provided incomplete information during
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Dealing with a securities dispute? A FINRA arbitration attorney can help. These attorneys specialize in securities arbitration, guiding you through the process to recover financial losses. Our attorneys have over 50 years of experience and a 98% success rate. We work on a contingency basis, meaning no recovery, no fee. Call us today for a
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Losing money in options trading can hit hard, leaving you feeling lost and unsure where to turn. Many nights, investors just like you stare at their screens wondering how things went so wrong. FINRA reports show over 60% of options traders face big losses each year – you’re not alone in this struggle. Our team
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Margin call losses can crush your finances when your broker fails to act properly. We know these losses often stem from advisor misconduct, which research shows affects many investors – over 12% of financial advisors had misconduct records between 2005 and 2015. Margin calls require extra cash or securities when asset values change, and your
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