Investment fraud is far too common as many investors blame themselves for losses and don’t know they can recover their investment losses.
The law firm of Haselkorn & Thibaut, P.A. is currently researching and investigating potential claims involving investor losses related to the FS Global Credit Opportunities Fund – A . The FS fund is classified as a close-ended fixed income feeder fund originally launched by Philadelphia, PA-based asset manager Franklin Square Capital Partners, the fund is […]
FS Global Credit Opportunities Fund A – Lawsuit “FINRA” Read More »
O.N. Equity Sales Company (ONES) is the latest broker-dealer to be found guilty of lack of supervision of its brokers by the Financial Industry Regulatory Authority (FINRA). The result is a fine of $275,000 and an order to pay restitution to impacted customers, amounting to over a million dollars, including interest. This is as per
O.N. Equity Sales Company (ONES) Fined by FINRA and Pay $1 Million Restitution Read More »
The investment being safe, secure, and liquid and the freedom to withdraw whenever required, minus a small surrender fee, were the assurances provided by broker Maria Florencia Calcena, then a registered representative of Ocean Financial Services, based on which $245K was invested by a former client in a product from Northstar Financial Services (Bermuda) Ltd.,
$245k Northstar Financial Services Complaint Against Maria Calcena (Ocean Financial) Read More »
Haselkorn & Thibaut are investigating claims against financial advisors and their broker-dealers that sold The Inland Real Estate Income Trust, Inc. (IREIT) for having improperly recommended it to some of their clients. It is alleged that many retail investors might not adequately understand the responsibility that broker-dealers, through whom they make investment decisions and whose
The Inland Real Estate Income Trust (IREIT) Lawsuit “FINRA” Read More »
Triad Advisors, an Advisor Group network brokerage firm, has been asked by the Financial Industry Regulatory Authority (FINRA) to pay a fine of $150K for supervisory failures pertaining to short-term trades involving Class A shares of mutual funds and variable annuity exchanges, in addition to repayment of $44K to customers financially affected by their failures.
Triad Advisors Complaints: Investor Notice Read More »