Financial Advisor Complaints

FINRA Suspends Nikolay Zotenko (Morgan Stanley)

FINRA Suspends Nikolay Zotenko (Morgan Stanley) For “Exclusive Venture Capital Investment Opportunity” Investments

The Financial Industry Regulatory Authority (FINRA) has taken action against a former Morgan Stanley broker from Beverly Hills, California for misleadingly marketing a private placement on its platform. Nikolay Zotenko was a Morgan Stanley employee for five years before he was terminated in May 2021. He was also suspended and fined $10,000 because of the …

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How to Protect Yourself Against Stock Broker Fraud

If you have been a victim of stockbroker fraud, you may want to contact a brokerage misconduct attorney for help. Although many such cases are reported each year, you might not be eligible to receive compensation for the losses you’ve sustained unless you’ve been involved in the fraud yourself. Attorneys can offer legitimacy and weight …

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FINRA Rule 2111 – Avoiding Unsuitable Investments

When a broker makes a recommendation that is not suitable for a client, that investor is at risk of taking on unnecessary risk and losing money. Suitability rules have been established by the Financial Industry Regulatory Authority, and other regulatory bodies to protect consumers. Brokers must consider a number of factors when making recommendations, including …

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GWG L Bonds

Investment Fraud Lawyers Investigate GWG L Bonds Sales by Emerson Equity Broker Tony Barouti

If you have been, or are, a customer of Tony Barouti, a registered broker with Emerson Equity, or purchased GWG L Bonds,  you are invited to contact our experienced investment fraud lawyers. Haselkorn & Thibaut is investigating the sales practices adopted by Tony Barouti in connection with the L Bonds offering of GWG Holdings. Any …

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William Athas at Worden Capital

Investment Fraud Lawyers Investigating William Athas at Worden Capital

A Financial Industry Regulatory Authority (FINRA) complaint has been filed against William Athas, formerly a broker with Worden Capital and K.C. Ward Financial, in January 2022. The complaint is for excessive trading in nine accounts of seven different customers between December 2014 and April 2020, while working with the two firms named above. What is excessive …

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Paul McGonigle

Paul McGonigle LPL Advisor Faces 37 Years in Jail and $1M in Fines for Elderly Fraud

According to information provided by the Department of Justice, Paul McGonigle, formerly an advisor with LPL Financial, stands charged in a superseding indictment and could face a prison sentence of up to 37 years. He is accused of defrauding elderly clients and stealing from their retirement nest egg. He has been charged with two counts …

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