Investment Fraud

The Roxane Rose (Merrill Lynch) Investigation

Haselkorn & Thibaut is closely monitoring a developing investigation involving Roxane Lillian Rose, a financial advisor at Merrill Lynch’s Santa Fe, New Mexico office. In April 2025, a client filed a complaint alleging unauthorized trading activities spanning December 2024 through April 2025. This case exemplifies the securities violations that can devastate investor portfolios and underscores […]

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Lawrence Rice Barred By FINRA: What Investors Need to Know

Lawrence Roger Rice (CRD #375304) was permanently barred by FINRA in August 2024 following his refusal to provide documents related to allegations detailed in his Form U5. This regulatory action represents the most serious penalty available under securities law. Rice’s most recent employment was with Centaurus Financial, Inc. from October 2022 until February 2024, where

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FINRA Fines Representative For Inappropriate David Lerner Associates Limited Partnerships

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

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Avoiding Bad Investment Advice: A Guide from Haselkorn & Thibaut

Investing in the stock market requires careful consideration and expert guidance from a financial advisor to achieve your long-term financial goals. A well-diversified investment portfolio is essential for building wealth and securing your financial security. When you start investing on your investment journey, understand your risk tolerance and personal financial situation to make informed investment

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