Investors rely on their financial advisors to safeguard their assets and help achieve their financial goals. When trust is broken, it can impact not just your financial future but also your peace of mind. Haselkorn & Thibaut, P.A., operating as Investment Fraud Lawyers, has officially opened an investigation into the conduct of the financial professional referenced herein. Our firm is committed to helping investors identify red flags, understand the nature of complaints and disciplinary actions, and pursue a potential recovery of their lost funds.
We bring a 98% success rate in hundreds of investor claims, over 95 years of combined securities law experience, and our cases involve over $520 million in investor matters. With a Top 2% Martindale-Hubbell AV Preeminent rating, Super Lawyers designation, and consistent 5.0-star client reviews, our attorneys are uniquely positioned to advocate for those who have suffered investment losses. You pay nothing unless we recover funds for you—no recovery, no fee.
Red Flags: Warning Signs Every Investor Should Know
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Through our ongoing investigation, we analyze public records, regulatory filings, and court documents, focusing on:
- Complaints alleging unauthorized trading, unsuitable investments, or misrepresentation
- Regulatory actions filed by FINRA or the SEC
- Customer disputes resulting in settlements, awards, or unresolved claims
- Employment terminations or resignations amid investigations
- Significant past or pending arbitration cases or lawsuits
- Patterns of similar complaints suggesting systemic misconduct
A careful search is conducted utilizing BrokerCheck, SEC databases, court records, and news sources to provide investors with a comprehensive view of any history of misconduct.
The Scope of Our Investigation Process
| Step | Purpose |
|---|---|
| BrokerCheck Analysis | Identify regulatory actions, disclosures, and customer complaints. |
| SEC Filings Review | Uncover enforcement actions, orders, or disciplinary reports. |
| Court Record Search | Track civil suits, injunctions, and state-level litigation. |
| News & Industry Reports | Check for negative press, public investigations, or regulatory warnings. |
We encourage you to provide us with the advisor’s full name, CRD/CRM number, and broker-dealer affiliation. With these details, our experienced team can conduct a targeted review and present a clear report of any red flags or open complaints tied to the advisor in question.
Understanding Your Recovery Options: The FINRA Statement of Claim
If you believe you have suffered losses due to a financial advisor’s misconduct, your main vehicle for recovery could be a FINRA Statement of Claim. As experienced former Wall Street defense counsel, our attorneys use insider knowledge to:
- Perform a meticulous review of your account records
- Identify and document all forms of misconduct and violations
- Connect your experience to specific FINRA rules
- Construct a logical, chronological timeline of events
- Request recovery of your financial losses, plus appropriate compensation
Your statement of claim is the foundation of the arbitration process. It must be clear, specific, and powerfully supported by evidence. We help ensure it is—so you have the strongest possible case.
Common Complaints Against Financial Advisors
Throughout our decades of experience, we have handled claims involving:
- Unauthorized trading without client consent
- Making unsuitable investment recommendations not aligned with the investor’s goals or risk tolerance
- Misrepresentation or omission of material facts
- Churning or excessive trading for commissions
- Overconcentration in risky or illiquid products
- Failure to supervise subordinate advisors or staff
Our firm’s approach is to validate and document each claim with supporting evidence such as account statements, trade confirmations, emails, and broker communications. Each piece of evidence helps build leverage for a potential settlement or strong arbitration case.
Why Immediate Action is Critical
Delaying your response can damage your chances for recovery. Investors may lose access to crucial documents, witnesses, and eligibility to file arbitration claims. Industry rules and legal deadlines apply, and waiting too long may jeopardize your ability to recover your funds.
If you suspect your advisor has acted improperly, or you notice unexplained losses or suspect poor supervision, contact us for a confidential, obligation-free case review.
Your Next Steps: Protect and Recover Your Investments
Our team will:
- Scrutinize your advisor’s background, regulatory records, and public filings
- Gather evidence to support your claim
- Explain your recovery options and help you understand every stage of the arbitration process
- Represent your interests, from claim preparation to negotiation and hearing if needed
Let us put our experience and insider knowledge to work for you. Schedule your free, confidential consultation by calling 1-888-885-7162. Whether you have already sustained losses or want to know if your investments are at risk, we stand ready to fight for your recovery.
Remember: The sooner you act, the better your chances. Don’t hesitate to begin the recovery process—our dedicated attorneys are ready to advocate for your interests today.
