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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Bill King (Merrill Lynch) complaints have rocked the investment world since 2022. As former financial advisors, we know how important trust is between brokers and clients. King, who worked at Merrill Lynch until 2023, faces serious accusations from many investors. FINRA fined him $5,000 and suspended him for 30 days after finding he made 204
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Amy Furuno, a broker now working at Lucid Capital Markets, LLC, faces serious claims from a customer. The complaint asks for $3,350,000 in damages for unsuitable investment advice, mainly about debt securities. This Amy Furuno From Lucid Capital Markets Complaint was filed on September 9, 2024, for actions during her time at Ladenburg Thalmann. The
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At Haselkorn & Thibaut, P.A., our experienced FINRA Arbitration lawyers help victims of investment fraud and financial advisor malpractice recover their investment losses. The securities industry laws are complex, involving state and federal regulations, firm-specific policies, and various industry standards. The Financial Industry Regulatory Authority (FINRA) is the governing body overseeing the securities industry, authorized
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A magnifying glass scrutinizing financial documents, a myriad of people from various walks of life pondering their financial futures, and a looming question in the air: Is Raymond James in trouble due to unreasonable commissions? The question remains as an investigation led by the Massachusetts Secretary of State has reviewed Raymond James’ business practices, and potential
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