Investigation into Investment Professionals Inc. claims

Attorney Sean Sweeney with the Securities Lawyers is looking into potential claims regarding Investment Professionals, Inc. According to public records, including a release from the Secretary of the Commonwealth of Massachusetts dated March 23, 2017, Investment Professionals, Inc, a broker dealer based in San Antonio, Texas was fined $100,000 and had to offer restitution to four […]

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First Financial Equity Corporation Disciplined for Failure to Supervise its brokers

Attorney Sean Sweeney with the Securities Lawyers is looking into potential claims regarding FIrst FInancial Equity Corporation. First Financial Equity Corporation is an independent broker dealer based out of Scottsdale, Arizona. According to public records the company signed a waiver and consent on March 08, 2017 regarding allegations from FINRA that it failed to supervise its […]

Former Cantor Fitzgerald Trader David Demos Indicted For Securities Fraud

The investment fraud attorneys at Halling & Cayo, S.C. are researching potential claims against stockbroker David Demos and his former firm, Cantor Fitzgerald. Federal prosecutors in Connecticut announced last week that Demos is facing charges for defrauding investors on mortgage-backed securities. According to the indictment, between 2011 and 2013, Demos engaged in a scheme of […]



New York Times Highlights Stockbroker Misconduct

In a series of recent articles, the New York Times has focused on stockbroker misconduct. The newspaper has specifically highlighted brokerage firms that “specialize” in employing brokers with disciplinary histories. In an article first published earlier this year, the Times looked at which firms employ the highest percentage of brokers who have at least one […]

Top 10 signs you may have a claim against your broker

For the average investor, it is difficult to know when losses in your account might be recoverable. Here are the top 10 reasons you might have a claim for the losses in your brokerage account: Significant losses in your account that don’t track major market indexes – If you note that the S&P 500 are up […]



Recover Sheaff Brock Investment Losses

The Securities Lawyers at Halling & Cayo are investigating investment losses suffered by customers of Sheaff Brock, an investment advisory firm utilizing TD Ameritrade as its trading platform. Investment advisors like Sheaff Brock have a fiduciary duty to their clients to ensure that each investment decision they make is appropriate for and in the best […]


What to Expect in FINRA arbitration – Choosing a panel

The process of choosing a panel is likely the most important aspect of any claim, and also the area most shrouded in mystery and uncertainty. Each FINRA Arbitration panel is made up of three members, a chair person and two other panel members. Before a rule change in 2011, each panel was made up of […]

How does FINRA decide how long a suspension will be?

While FINRA is clear to say that what it provides are guidelines, not hard and fast rules, it does publish a “Sanction Guidelines” that reads surprisingly like a menu. However, even for each category of conduct there are aggrevating and mitigating factors that can be taken into account. If you are facing potential disclipinary action […]

Sanction Guidelines


Mark P. Welhouse and Welhouse & Associates, Inc. investigated by SEC

Halling & Cayo S.C. is researching potential claims for recovery of investment losses for investors with Mark P. Welhouse and Welhouse & Associates as a result of losses suffered relating to “SPY” options trading and allegations of misconduct by the Securities and Exchange Commission. Attorney Sean M. Sweeney is a member of the Public Investors Arbitration […]