Financial Advisor Complaints

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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Phillip Conley Gets 7 Year For Stealing From Clients

Phillip Conley Gets 7 Year For Stealing From Clients

Financial Advisor Phillip Conley, of Jacksonville, FL., suspended by the Financial Industry Regulatory Authority (FINRA) in 2015, on account of his non-compliance through non-payment of an arbitration award against him, has now been sentenced to over 7 years in prison. This sentence is not for the earlier infraction but a subsequent case of stealing millions …

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Billy Bush (Morgan Stanley)

Billy Bush (Morgan Stanley) Settles Customer Complaint For $250K

Former Morgan Stanley & Co. financial advisor Billy Busch has made a disclosure regarding the settlement of a FINRA lawsuit. Mr. Bush’s clients allege they were sold unsuitable investments. The information is in the public domain. Unsuitable Investments – Explained Brokers must make investment recommendations that meet their objectives, needs, and risk tolerance. Your broker must …

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John Rochester

John Rochester (Morgan Stanley) FINRA Arbitration Claim Seeks $600K

Morgan Stanley Advisor John Rochester has made a disclosure of an arbitration claim filed by a customer who seeks $600K in damages. This is based on information available in the public domain. Haselkorn & Thibaut has opend an investigation of Mr. Rochester. The Financial Industry Regulatory Authority (FINRA), the body that licenses brokerage firms and …

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Ron Molo (Edward Jones) Charged With Theft

Ron Molo (Edward Jones) Charged With Theft of $800K From Customer Accounts

Ronald T. Molo, an investment advisor of 20 years standing with Edward Jones, has been charged by the Securities Exchange Commission (SEC) for fraud. According to the SEC complaint, filed in the U.S. District Court for the Northern District of Illinois, between January 2019 and November 2020, Molo siphoned out $800K from the account of …

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William LeBoeuf SUSPENDED by FINRA

Cetera Complaints: William LeBoeuf SUSPENDED by FINRA for Private Securities Transactions

Engaging in private securities transactions has earned financial advisor William LeBoeuf a fine and suspension by the Financial Industry Regulatory Authority (FINRA). The transactions in question were performed while he was a registered representative initially of Merrill Lynch and then with Cetera. Private securities transactions of LeBoeuf According to FINRA, LaBoeuf’s dabbling in private securities …

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