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Haselkorn & Thibaut, P.A., operating as Investment Fraud Lawyers, closely monitor regulatory enforcement actions that affect individual investors. This week, the Securities and Exchange Commission (SEC) announced a settlement with David Lerner Associates. The Long Island-based brokerage firm agreed to pay $201,600 for repeated violations of Regulation Best Interest. We explain what happened, how much […]

A federal court in Florida entered a final consent judgment against James Blake Daughtry, resolving U.S. Securities and Exchange Commission allegations that the former Dothan, Alabama investment adviser breached his fiduciary duties to roughly 150 clients after selling his advisory practice for more than $1 million, a lifetime monthly stipend, and future stock options. Daughtry

If Matthew Wilkes was your financial advisor, you should know what public records show. FINRA BrokerCheck discloses over $6.8 million in pending customer arbitration claims against Wilkes, a former broker who spent 15 years at firms including Wells Fargo, Raymond James, and TrustFirst before registering as an investment advisor in Tennessee. The allegations are not

Bad financial advisors cost investors billions every year. Learn the warning signs of investment fraud and how experienced securities attorneys help recover losses.