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Halling & Cayo
  • Broker Misconduct
    ▼
    • Breach of Fiduciary Duty
    • Failure to Supervise
    • Selling Away 
    • Misrepresentation Case 
    • Recovery for High Net Worth Investors
    • Is Your Broker Taking Advantage of You?
  • Products
    ▼
    • GWG L-Bond Claims
    • Real Estate Investment Trust Claims
    • Oil & Gas and Private Placement Fraud 
    • BDC Investments
    • Recover Northstar Healthcare REIT Losses
    • Structured Product Investments
    • iCap Equity
    • Recover Losses from Variable Annuities
    • The Variable Annuity Trap
  • FINRA Arbitration
    ▼
    • What Investors Need to Know
    • FINRA Discovery Process
    • FINRA Arbitration Walkthrough
  • Investigate my Broker
  • FAQ
  • Recovery
  • News
  • Videos
    ▼
    • Do I need a lawyer for my FINRA arbitration?
    • Do you dare sue your broker?
    • How to file a complaint against a Financial Advisor
    • Is FINRA a good thing?
    • My Financial Advisor lost my money, what now?
  • Contact Us
(414) 755-5020
(414) 755-5020

Securities Law Updates & News

Mule Creek Investment Losses: Recovering Your Capital from Unsuitable Energy Private Placements

Mule Creek Investment Losses: Recovering Your Capital from Unsuitable Energy Private Placements

January 9, 2026September 23, 2026

Often, investors don’t realize that a “bad break” in the market was actually the result of an unsuitable recommendation or…

Investor Alert: Investigation into Fraud Allegations Against Howard Dennis Kavinsky

Investor Alert: Investigation into Fraud Allegations Against Howard Dennis Kavinsky

January 7, 2026September 23, 2026

Public records recently made available by the Financial Industry Regulatory Authority (FINRA) have raised significant red flags regarding the professional…

Is Your Investment in SmartStop Self Storage REIT “Locked Up”?

Is Your Investment in SmartStop Self Storage REIT “Locked Up”?

January 7, 2026September 23, 2026

If you invested in SmartStop Self Storage REIT (formerly known as Strategic Storage Trust II), you may have recently noticed…

The Securities Lawyers File FINRA Arbitration Claim Against Park Avenue Securities Involving “Solar Program” Investment Scheme

The Securities Lawyers File FINRA Arbitration Claim Against Park Avenue Securities Involving “Solar Program” Investment Scheme

January 7, 2026September 23, 2026

The Securities Lawyers at Halling & Cayo, S.C. have filed a FINRA arbitration claim on behalf of a senior investor…

Is Your “Safe” Inspired Healthcare Capital Investment Losing Value?

Is Your “Safe” Inspired Healthcare Capital Investment Losing Value?

January 6, 2026September 23, 2026

Many investors choose healthcare real estate because it feels like a “recession-proof” bet. After all, everyone needs senior living and…

Investor Alert: Investigation into Timothy Nathaniel Darnell and Alleged “Selling Away” in First Liberty Building & Loan Ponzi Scheme

Investor Alert: Investigation into Timothy Nathaniel Darnell and Alleged “Selling Away” in First Liberty Building & Loan Ponzi Scheme

January 6, 2026September 23, 2026

Public records recently made available through FINRA BrokerCheck reveal serious red flags regarding former Atlanta-based broker Timothy Nathaniel Darnell (CRD#…

Did You Lose Money in Northstar Financial Services (Bermuda)? You May Have a Claim.

Did You Lose Money in Northstar Financial Services (Bermuda)? You May Have a Claim.

January 2, 2026September 23, 2026

If you purchased an investment product from Northstar Financial Services (Bermuda), you are likely already aware of the bad news:…

LPL Financial Broker William Tunink Terminated Amidst Multiple Customer Disputes Regarding Loans and “Selling Away”

LPL Financial Broker William Tunink Terminated Amidst Multiple Customer Disputes Regarding Loans and “Selling Away”

January 2, 2026September 23, 2026

The securities attorneys at Halling & Cayo are interested to talk to investors that may have claims related to William…

Settlement Secured: GWG L-Bonds & The Breach of “Best Interest”

Settlement Secured: GWG L-Bonds & The Breach of “Best Interest”

December 10, 2025September 23, 2026

The Securities Lawyers at Halling & Cayo, S.C. are pleased to announce the successful settlement of a FINRA arbitration claim…

The Securities Lawyers at Halling & Cayo, S.C. Secure Settlement for Retirees in Variable Annuity Misrepresentation Case

The Securities Lawyers at Halling & Cayo, S.C. Secure Settlement for Retirees in Variable Annuity Misrepresentation Case

November 3, 2025September 23, 2026

The Securities Lawyers at Halling & Cayo, S.C. are pleased to announce the successful resolution of a FINRA arbitration claim…

L-Series Annuity Losses? FINRA Lawyer for Annuity Claims

September 9, 2025September 23, 2026

As an attorney who represents investors, I often speak with clients after their “safe” investment, the one their trusted financial…

“Protected” or “Buffered” Structured Notes: The Illusion of Safe Investing

September 3, 2025September 23, 2026

I’ve built my career representing investors who were put into products they never should have been sold. In recent years,…

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“At The Securities Lawyers, you get hands-on involvement from a partner level attorney. If I'm lead counsel on your case, there will be associates and paralegals assisting, but I will be the one trying your case, negotiating settlements, and mediating your case.”

SEAN M. SWEENEY

The Securities Lawyers
Halling & Cayo, S.C.

320 E Buffalo St Ste 611,
Milwaukee, WI 53202
(414) 755-5020
sms@hallingcayo.com

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MON 8AM - 5PM
TUE 8AM - 5PM
WED 8AM - 5PM
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ABOUT HALLING & CAYO, S.C.

The Securities Lawyers is comprised of the securities attorneys from the Securities Litigation and Arbitration Team for Halling & Cayo, S.C., providing quality legal representation on a wide range of issues, including business law and securities litigation. Our attorneys provide the highest caliber of legal services, with a friendly and informal approach that focuses on goal-oriented solutions.

PROTECTING INVESTORS, RECOVERING LOSSES.

It is not just a tagline, it defines what we do. We work every day to help protect investors by lobbying congress and working with FINRA to enact laws and regulations to prevent retirement funds from being lost in the first place. At the same time, we are fighting daily for our clients in court and arbitration to recover those funds they have already lost. Our primary focus is to help our clients get back on track towards the retirement they were building by recovering the funds that were lost or stolen as a result of their broker’s conduct.

*Disclaimer: the information provided by this website is for informational purposes only and should not be considered legal advice or a substitute for competent legal counsel.
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