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Haselkorn & Thibaut, P.A.

Investment Fraud Lawyers

With 100 years of experience, a 95% success rate and millions recovered, Haselkorn and Thibaut, P.A., has established a nationwide reputation as premier investment fraud law firm.  Our investment fraud lawyers have ranked in the the top 2% of peer reviews, 5 Star Google ratings and Super 100 lawyers.

We can help you recover your investment.  Please call 1-800-856-3352 or click the button below to discuss your case with one of our experienced securities attorneys. En español 561-585-0000.

 

 

Investment Fraud Lawyers

With 100 years of experience, a 95% success rate and millions recovered, Haselkorn and Thibaut, P.A., has established a nationwide reputation as premier investment fraud law firm.  Our investment fraud lawyers have ranked in the the top 2% of peer reviews, 5 Star Google ratings and Super 100 lawyers.

We can help you recover your investment.  Please call 1-800-856-3352 or click the button below to discuss your case with one of our experienced securities attorneys.

 

Haselkorn & Thibaut, P.A.  – 100 Years of Investment Legal Experience

Investors Should Not Pay for an Investment Fraud or Mistakes by Financial Advisors and Broker-Dealers

investment fraud lawyer

Investment losses can appear simple on the surface, but often involve a multitude of legal and regulatory issues that may have caused or contributed to those losses. For example, the term securities fraud may seem simple, but it can be a complex area of the law and there are many different ways to prove evidence of securities fraud.

When customers of financial services firms notice investment losses, they are generally not familiar with the complex legal or regulatory issues that may constitute securities fraud, negligence, or other improper behavior. They just know that something was not right and something caused the losses in the portfolio. They often recognize the loss and often realize that their financial security (perhaps their retirement, or their ability to maintain their lifestyle, etc.) may now be in jeopardy. 

We Help Investors Recover Investment Losses

Time is against most investors who face investment fraud.  It is very important that action is taken in a timely manner.  Haselkorn and Thibaut P.A, the Investment Fraud Lawyers, specialize as investment fraud attorneys with over 100 years of industry experience. Our investment fraud lawyers are knowledgeable and experienced in the complex legal and regulatory areas needed to assist you in recovering your investment.

As former licensed brokers and defense lawyers, they have an insider’s view of those legal and regulatory issues, and how the financial services firms and their lawyers often treat and evaluate these matters. You should have their knowledge and experience on your side, aggressively fighting to make things right and help you recover your investment.

With over 100 years of experience and millions recovered, our investment fraud lawyers fight aggressively to recover losses for investors.  The only thing worse than losing investment money is not recovering money when you could have recovered funds.   The right investment fraud lawyer will take fast legal action that includes FINRA Arbitration or filing complaints with FINRA and SEC.  Although the process may seem complex, or intimidating, we make it easier for investors.

 

 

 

Why Clients Choose Our Investment Fraud Lawyers?

  • As former licensed securities brokers, we are extremely familiar with the financial industry.
  • We began our legal careers defending major broker dealers, and we can anticipate their strategies and defenses.
  • We have recovered millions of dollars for our clients against some of the largest firms on Wall Street.
  • For approximately 100 years, our attorneys have handled thousands of securities cases in FINRA, NASD and NYSE arbitration, as well as in state and federal court.
  • We have the legal experience, the securities industry background, and regulatory knowledge and experience to help you even the playing field and obtain the maximum financial recovery of your investment.
  • We utilize the experience, resources, and power of a large law firm while providing clients with the highest level of boutique law firm service.
  • Most cases are handled on a contingency fee basis. We only receive attorney’s fees if we obtain a recovery.

investment fraud attorneys

 

 

Our Experienced Investment Fraud Lawyers Are Here to Answer Your Questions

 

investment fraud lawyers

 

Some investors know they are the victims of securities fraud or negligence. Others might have a gut feeling or just suspect something may be wrong after noticing an investment loss. Our knowledgeable securities fraud attorneys work quickly to investigate claims of broker misconduct, identify what has happened, and develop a strategy to recover your investment.

Securities laws are complex and involve state as well as federal regulations, and may involve firm-specific policies and securities industry standards. We have the experience and knowledge to properly advise you, and to aggressively pursue all claims. Our attorneys provide a free initial consultation.

Signs of Investment Fraud

  • High-pressure sales are common in investment fraud.
  • Promises of little to no risk.  The truth is that every investment has risk, from government bonds to speculative high-tech stocks. Investors are always on the lookout for investment opportunities that will increase their returns while minimizing risk. However, investment frauds will often trumpet the safety of their investment opportunities. They will often make promises of significant profits without underlying risk. Be wary of anyone who offers an investment that promises great returns with minimal risk.
  • Overly complex or vague descriptions of how the investment generates a return.
  • Unrealistic guarantees of significant returns in short periods of time.
  • Avoiding questions and requests for documentation.
  • Lack of licenses and certifications.
  • Difficulty cashing out.

What to Do If You Suspect Investment Fraud

  1. Document everything you can about the suspect investment.
  2. If you suspect fraud, an investment fraud attorney can help you plan your next steps.  Our lawyers can help you understand the laws surrounding an investment and the strategy for recovery. We can investigate what has happened, where your investment may have gone, and offer advice about the best steps for moving forward.

Don’t let fraudsters walk away with your hard-earned money. Fight back. Contact us today for a free consultation.

Learn More About:

Big Firm Results, Boutique Firm Service

At the Investment Fraud Lawyers, we recognize that clients and professional referral sources have choices when it comes to securities attorneys and law firms. For clients, it comes down to some important considerations in choosing the right attorneys for you. For attorneys, CPAs, and professional referral sources, it comes down to trusting the attorneys and the investment loss law firm with some of your most valuable assets – your own clients.

Ask yourself: Do these attorneys have the knowledge and experience to handle the matter? Do these attorneys have the resources available to get the job done right? Am I going to be dealing with a large, cumbersome, and expensive litigation ‘team’ the members of which often change and are difficult to contact? With the Investment Fraud Lawyers, you get ‘large law firm’ experienced attorneys and ‘large law firm’ quality work product (the same experienced attorneys and the same high-quality work product the Wall Street firms relied upon for years in defending similar matters). At the same time, you get the higher level and more personalized service, responsiveness, and flexibility of a smaller, more nimble investment fraud law firm. The Investment Fraud Lawyers is proud to offer our clients the best of both worlds.

 

Clients Testimonials – Investment Fraud Lawyers

Our mission is to be able to provide the highest quality legal services to clients involved in securities arbitration or investment litigation matters, with the highest level of personalized service and attention that each client deserves. Unnecessary financial losses are never easy for our clients to deal with or address. We understand what you are going through, and we also know what we need to do to address the situation. The attorneys at Investment Fraud Lawyers pride themselves (as does the entire group) on the high level of accessibility, communication, and quality representation that each client deserves. This is why clients are satisfied and why other attorneys and professionals feel confident referring their clients.

I was referred to Matt by a well-known local attorney. Matt asked all the right questions and took the time to explain my case from all possible angles. Throughout the time I spent working with Matt on my case, he has been responsive to all of my questions, and I felt comfortable from the beginning with his extensive legal knowledge and expertise. Further, I've gotten to know Matt well, and he is an all-around great person who cares about his clients. With the successful resolution of my case, Matt has set the bar extremely high for any future legal needs I may have. I highly recommend Matt without hesitation.-

Steve R

I didn't know what to do when I lost investment money, but Haselkorn & Thibaut helped explain my options for recovering my losses.

A Rahman

After 10 years of working with Mr. Haselkorn and his team, we have experienced nothing but tremendous success in every case, genuine trusted and top notch counsel as well as friendship as any business partnership should be. Old school values with new world approaches coupled with the highest ethical standards makes this firm the only choice I ever make and the only one I refer.

John L

 Client Stories – Investment Fraud Lawyer

Perhaps your situation will be similar. Or perhaps you will better see why Jason and Matt enjoy aggressively fighting for the rights of their investor clients. Either way, you’ll see why lawyers, CPAs and fellow professionals all across the country feel 100 percent confidence when they refer their most valued client relationships to Jason and Matt to handle an investment loss recovery case.

Please note that each case is unique and results may vary based on the specific issues, evidence and damages of a particular case. None of these examples are intended to suggest that another case could achieve the same results, or that there is a guaranteed outcome in any other case.

If you are a potential client or a professional referral source (CPA, estate planning attorney, general practitioner, financial advisor, etc.) and you or your clients have a similar set of circumstances, please do not hesitate to call our office.

We could tell you about the millions of dollars we have recovered for clients, but what we believe really matters is how many people we were able to help. Below are just some of the real people we have helped.

 

Hardworking Family Recovers Funds After Being Defrauded by Trusted Advisor

A well-known family in a small community worked for generations toward a charitable endeavor. They believed that their family values were reflected in meeting the goals of the family’s charitable trust.

After many years, a once-trustworthy financial advisor defrauded that family of almost 90 percent of their investable assets. With traditional court litigation looking like the costs would outweigh any potential benefits, the family attorney referred one of his closest client relationships to Jason and Matt.

After a thorough investigation of the facts and issues, a strategy was put in place and a substantial recovery of several million dollars of investable assets was accomplished for the family. The referring attorney not only was able to assist his clients in what was an overall successful result, he also received a substantial co-counsel referral fee.

Family Recovers Inheritance After Being Robbed in Ponzi Scheme

A family who had just received a substantial inheritance invested with a highly regarded investment advisor who was offering a safe, secure municipal bond fund. The family making the investment of nearly their entire inheritance had no idea, the fund was actually a fraudulent Ponzi scheme that was created by the investment advisor in violation of SEC and FINRA rules. In addition, the brokerage firm and investment advisor firm he was contracted with and working for at the time was providing negligent supervision.

After substantial research and putting together an aggressive strategy, Jason and Matt achieved a multimillion-dollar recovery for the family.

New Financial Advisor Flags Problems in Widow’s Retirement Assets

An elderly retiree’s husband had originally opened an account with a financial advisor. After the woman became a widow and retired, the financial advisor continued to invest in an aggressive, high-commission investment strategy.

Due to a number of life-changing events, that strategy was no longer suitable or appropriate for the client. With no changes in the strategy, the fees and commissions as well as the losses piled up.

Fortunately, the client’s new financial advisor recognized the potential problems and recommended that the client meet with Matt and Jason after getting her new account and investment strategy squared away. After some research and investigation, the woman was on track to recoup a substantial portion of her unnecessary losses and expenses from two prior firms that should have more closely supervised the former financial advisor.

The client’s new financial advisor not only put her back on track, but put her in a position to recoup a substantial portion of her retirement assets.

CPA Teams Up with New Advisor to Uncover Losses

A client’s CPA noted some realized investment losses that seemed peculiar. The CPA referred the client to Jason and Matt.

After a more thorough investigation, it was discovered that the realized losses were merely the tip of the iceberg. There were substantial unrealized losses that had not yet appeared on the client’s or the CPA’s radar and a financial advisor who had not properly performed in accordance with industry standards.

With the assistance of the client’s CPA and new financial advisor, the issues and damages were all identified and the client enjoyed a substantial recovery of the investment losses. While the client appreciated the job that Matt and Jason did in order to achieve that successful recovery, it was clearly a team effort shared by the CPA and the new financial advisor that made for the ultimate result. Those two professional relationships were substantially enhanced in the process and are on track to continue even stronger for many years to come.

Team of Honest Professionals Recovers Assets for Widow with Dementia

An elderly widow suffering from dementia and memory loss was trying to address her current income and investment needs with her new CPA and financial advisor. As it turns out, her former CPA also served as an investment advisor, and while she was caring for her husband as his health was declining due to Parkinson’s disease, their prior financial advisor converted millions of dollars of liquid conservative investable assets into a handful of unsuitable and inappropriate insurance and annuity product purchases.

Matt, Jason, the client’s new CPA and her new financial advisor all worked together to identify the liability issues as well as all of the damage issues and amounts. A substantial recovery of the investable assets as well as some additional tax-related work by her CPAs and tax attorneys made the client whole from a financial perspective and placed her mind at ease. It also placed her new CPA and new financial advisor in a position to better advise her going forward, and with more liquid assets in order to provide for some flexibility regarding her future investment strategy with her new advisor.

Retired Couple Rescued from Unsuitable Investments

An elderly retired couple invested in bonds, believing that those investments would be safer and less volatile than stocks or equity mutual funds. Instead, an unscrupulous financial advisor recommended frequent trading of numerous bonds, most of which were allocated in Puerto Rico.

After the couple’s children reviewed some of their parents’ account statements, they called Matt and Jason. A more thorough review and analysis revealed that not only were the individual positions unsuitable, the overall investment strategy was unsuitable, misallocated and appeared to be driven by a desire to maximize commissions.

A substantial recovery was obtained by the retired couple, and the new financial advisor enjoys a stronger and more productive relationship with her clients. The new financial advisor is also on track to maintain that client relationship into the next generation after having had an opportunity to work with the client’s children.

Woman’s Retirement Investments Recovered After Big Firm’s Mistakes

A client conducting business for many years with a large national Wall Street firm believed she was in good hands with a trusted financial advisor who was looking out for her best interest. Over time, the client needed her investment strategy to adapt to her desire to retire and start drawing income from her investment accounts. For unknown reasons, the former financial advisor recommended a series of energy sector investments that over time came to dominate the portfolio.

Not only was the client not in a position to draw income when she planned to retire, she found herself incurring substantial unnecessary realized and unrealized losses. After recouping a large percentage of her losses with Jason and Matt’s help, the client was in a better position to work with her new financial advisor to prepare an appropriate and sound investment strategy that provided for her needs.

In addition, the client’s general practice and estate planning lawyers who originally noticed the issue and referred the client to Jason and Matt not only enhanced their client relationship but also earned a substantial co-counsel referral fee.

Investments Were Performing Well, But Large Firm Was Not Disclosing Fees

The clients were well-off investors who experienced positive market performance in their investment accounts. However, their large nationwide Wall Street firm failed to properly disclose self-serving fees and expenses. It also was forced to pay substantial regulatory fines for improperly steering client investments toward securities investment vehicles that generated substantial undisclosed or opaque fees and other financial arrangements that benefitted the firm, at the expense of the clients.

With the help of Jason and Matt, the clients obtained a substantial recovery.

Clients Rescued from Portfolio Filled with Junk Bonds

The clients were invested in CDs as well as investment-grade municipal bonds. Over time, the complexion of the clients’ portfolio changed, and the investment-grade bonds and CDs were replaced with high-yield (a.k.a. junk bonds) predominantly in the energy (oil and gas) sector and Puerto Rico.

With Matt and Jason on their side, the clients were able to recoup a substantial portion of their unnecessary losses.

After Being Ignored by Advisor, Woman Recoups Investment Losses

A professional client with a substantial investment portfolio was forced to stop working due to an unexpected and life-changing medical diagnosis. Her financial advisor was hired specifically to help her meet her financial needs during a difficult personal challenge. The financial advisor was given specific instructions based on the client’s unique needs during a very difficult time in her life.

Instead of following the instructions, the financial advisor followed his firm’s recommendations and pre-fabricated portfolio recommendations. The client’s estate planning lawyer noticed the discrepancy, brought it to the client’s attention, and referred the client to Matt and Jason.

After conducting a thorough investigation and developing an aggressive strategy for recovery, Matt and Jason were able to recoup most (if not all) of the client’s unnecessary investment losses. The client’s estate planning lawyer not only enhanced his relationship with the client and her future heirs and beneficiaries, he also earned a substantial co-counsel referral fee.

Longtime Advisor Put Retired Widow’s Financial Future in Jeopardy

An elderly widow continued to maintain her investment portfolio with a financial advisor whom her late husband had conducted business with for many years. Unfortunately, the financial advisor continued an aggressive investment strategy with high turnover that served to generate substantial commissions and fees for the financial advisor and the firm. In addition, the advisor had not produced a rate of return in line with any market benchmark in many years.

The client’s new financial advisor alerted the woman to these concerns and referred the her to Matt and Jason for a thorough investigation. After an in-depth review and an expert analysis, it was clear that the client’s account was not only unsuitably invested, improperly churned to generate commission, but there were additional problems and damages.

The matter was resolved, and the client obtained a substantial recovery that provided her current investment portfolio with a much needed boost. It also provided her with peace of mind that she can continue to maintain her lifestyle and enjoy her retirement as she and her late husband had originally planned.

The client’s new financial advisor is now held in high regard by the client and her entire family.

When Mediation Failed, Investment Loss Recovery Group Took the Reins

A highly regarded law firm recommended an investment loss law firm to handle what was believed to be a substantial claim for one of its largest and most substantial core family clients. The claim was against a large Wall Street investment firm. However, the client was not satisfied with what appeared to be an investment loss recovery lawyer who was being outgunned and out-maneuvered by the large Wall Street firm’s New York City-based lawyers.

Matt and Jason were asked to take over the case after a failed mediation. After a thorough review and investigation, a new, more aggressive and highly creative strategy was implemented.

The result was a recovery that was more than five times the original settlement offer at the mediation. The law firm preserved and even enhanced its reputation and relationship with this extremely important client after the initial misstep. In addition, the coordinated effort resulted in an extremely favorable recovery for the client, as well as a substantial co-counsel referral fee for the law firm that recommended Matt and Jason.

Investment Fraud FAQs

Please feel to contact us for any questions or a free case review.   Below are some of the popular questions people ask:

How do I know if I have a case?

Every situation is unique, but we can typically guide you in the right direction after a short initial no-cost consultation in-person or by telephone. We try to answer all of your questions and provide you with relevant information so that you can make informed decisions about your situation.

How long will the process take?

While it does vary depending on the individual circumstances, and there are several potential strategies that can be considered for expediting cases, most FINRA securities arbitration and investment litigation matters are concluded within a 12-14 month time frame from the filing date.

Where does the arbitration occur?

Assuming we are talking about a FINRA-sanctioned arbitration, those generally occur at a FINRA facility the closest in proximately to the Claimant’s residence. However, there are sometimes additional variables to consider. In some cases, state or federal court proceedings are subject to procedural and jurisdictional rules. In other cases, a contract or agreement between the parties may control. We can discuss these and other related issues in our initial consultation.

Is information about my arbitration claim publicly available?

Settlements are typically confidential and the arbitrators may issue an Award. The Award alone would be public; however, the Award typically will not include any personal details beyond the result in the case.

What types of clients does your firm represent?

We have and continue to represent Individual investors, trusts, corporations, pension plans, charitable organizations, and various entities.

Why should I choose you?

In a single word: Experience.

We have personally worked for several years in the financial services industry. We have experience on all sides and in virtually every type of matter in this area. We have in-house brokerage firm experience, compliance-side experience, as well as a combined over 30 years of securities arbitration and investment litigation experience.

How are you compensated?

Every case and every situation is different, as is every client relationship. We are committed to working with our clients to arrange cost-effective litigation strategies and we have arrangements that include hourly, contingency, hybrid, or alternative fee arrangements depending on what make sense for our clients in every case.

What is the Financial Industry Regulatory Authority?

FINRA is The Financial Industry Regulatory Authority. This is the largest independent regulator for all securities firms doing business in the United States. FINRA’s mission is to protect investors by making sure the United States securities industry operates fairly and honestly. FINRA oversees about 4,250 brokerage firms, about 162,155 branch offices and approximately 629,525 registered securities representatives. FINRA was formed by a consolidation of the member regulation, enforcement and arbitration operations of the New York Stock Exchange, NYSE Regulation, Inc., and NASD. The merger was approved by the United States Securities and Exchange Commission (SEC) on July 26, 2007.

Who are the arbitrators?

Arbitrators are generally three neutral individuals who serve as the judge and jury for your case. Some have more arbitration experience than others; however, in order to become an arbitrator, one must apply and receive training. Well-recognized securities arbitration forums include: Financial Industry Regulator Authority (FINRA), American Arbitration Association (AAA) and JAMS. FINRA is the most common arbitration forum and you can learn more about the process and who the arbitrators are at www.finra.org.

What is the normal process with a FINRA Arbitration

The current FINRA Arbitration process can be seen here: http://www.finra.org/arbitration-and-mediation/arbitration-overview

In addition to securities case, what kinds of cases does your firm represent?

The Investment Fraud Lawyers is a full-service firm that was established over 30 years ago, which traces its roots in Palm Beach County decades before then. Originally created by merging three established law firms. Additional practice areas include probate, wills and trust, estate and trust litigation, tax/corporate, appellate, family/divorce, commercial litigation, real estate, zoning, and construction litigation among our various practice areas. Please do not hesitate to contact Jason or Matt regarding any of these other matters, with experienced attorneys in all of these practice areas, we look forward to assisting you in your case.

Stock Broker Fraud Check

There are many forms of stock broker fraud that can range from lying to misrepesenting investment products.  We offer a free service to review investors portofolios and financial advisors for all investment fraud issues.  You can also search online with a service by FINRA, called “Broker Check.” that will allow you to search broker-dealers and stock brokers.

 

Investment Fraud Lawyers: Recent Blogs