Investment Fraud Archives – Page 46 Of 88

Mario Martinez Accused Of Misappropriating Client Funds

We’re addressing an important regulatory development in the financial advisory industry. Mario Martinez, formerly a financial advisor at Merrill Lynch, has been accused of misappropriation of client funds and accepting an unauthorized loan from a client. These allegations emerged shortly before his departure from Merrill Lynch in January 2025. The Financial Industry Regulatory Authority (FINRA) […]

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Austin Dutton Investigation: Important Information for Investors

The investment practices of Austin Dutton have prompted regulatory scrutiny. We at Haselkorn & Thibaut are investigating Mr. Austin R. Dutton Jr. regarding investment practices that may have affected clients negatively. FINRA, the financial industry regulatory authority, barred Mr. Dutton from working as a broker on June 24, 2024, following an investigation into his professional

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FS Energy Power Fund: Investor Information

FS Energy and Power Fund investors face serious financial troubles. We’ve seen the fund’s value drop from $10.00 to just $3.25 as of September 29, 2023. This means many people lost over 60% of their money. If you’ve invested in FS Energy & Power Fund and experienced losses, contact Haselkorn & Thibaut’s securities attorneys at

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Derek Taller Faces SEC Charges In Investment Fraud Case

The Securities and Exchange Commission has recently filed charges against Derek Taller, a former New York investment adviser. The SEC alleges that Taller committed fraud through two companies: Vision BioBanc Holdings LLC and StHealth Capital Investment Corporation. Our investigation reveals that Taller allegedly provided misleading documents to investors, falsely claiming Vision Holdings had proper board

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Former Flagstaff Broker Dharmesh Vora Barred for Investment Violations

SEC Action Against Dharmesh Vora The Securities and Exchange Commission took strong action against Dharmesh Vora and his firm, Vora Wealth Management. After a 13-month investigation ending September 16, 2024, the SEC barred Vora from the investment industry for three years. We found this case alarming because Vora breached his fiduciary duty to clients. The

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