Meyer Wilson

Investment Fraud Law Blog

Investment Fraud Law Blog

Read the latest news regarding alleged investment fraud and broker misconduct cases nationwide. The securities fraud attorneys at the law firm of Meyer Wilson have been helping investors recover losses since 1999.

Meyer Wilson is proud to announce that founding partner David P. Meyer was named once again to the list of The Best Lawyers in America © in 2018 for both Professional Malpractice Law – ... Continue reading "Attorney David Meyer Selected to the 2018 List of The Best Lawyers in America©" »
Fraudsters use a wide array of tactics in their hunt for a new mark, and the Securities and Exchange Commission (SEC) recently started cracking down on a new method, posting deceptive articles on ... Continue reading "Protect Yourself from Investment Research Stock Scams" »
John Nelson Crook is a stockbroker with a history of customer complaints against him. He has been accused of misrepresentation, engaging in excessive and unauthorized trading, recommending unsuitable ... Continue reading "Broker John Crook Hit With Complaints of Excessive Trading, Unsuitability, Others" »
Former Ameriprise financial advisor Daniel P. Doogs has been suspended by the Financial Industry Regulatory Authority (FINRA) for failing to cooperate with a request by FINRA for information. He was ... Continue reading "Broker Daniel Doogs Suspended by FINRA, Terminated by Employer" »
Former Morgan Stanley broker Anthony Vincent Ferrone (CRD# 1192506) of Mahwah, New Jersey has been permanently barred from the securities industry. According to his publically-available BrokerCheck ... Continue reading "Anthony Vincent Ferrone Banned from Securities Industry Due to Unsuitable Unit Investment Trusts" »
Broker and financial advisor Abraham Heimann (CRD #1315922) of Cetera Advisors is facing customer disputes from three clients that were filed with the Financial Industry Regulatory Authority (FINRA) ... Continue reading "Abraham Heimann Accused of Investment Unsuitability Among Other Types of Misconduct" »
Broker and financial adviser Regan Rohl (CRD# 1877645) of Wells Fargo Advisors Financial Network, LLC is currently the subject of three pending customer disputes for unsuitable, misrepresented, and ... Continue reading "Broker Regan Rohl Facing Allegations for Discretionary Trading Without Authorization" »
Former Herbert J. Sims & Co. investment broker Larry Charles Wolfe is facing allegations of unauthorized trading, unsuitable recommendations, fraudulent misrepresentations and omissions, ... Continue reading "Larry Charles Wolfe Under Investigation for Broker Misconduct" »
A common misconception far too many people have of financial advisors is that they have the same legal obligations as registered investments advisors and lawyers when this is not the case in many ... Continue reading "Warning Signs That May Indicate It's Time to Fire Your Financial Advisor" »
While many legitimate companies use video calling services like Skype and Google Hangout to hold cost-effective and convenient interviews for job applicants, a number of scammers use this same ... Continue reading "The Dangers of Fake Online Job Interviews" »
Scott Polish, a broker from Ohio, has reportedly been permanently barred due to allegations of broker theft. Scott Polish was reportedly working for Wells Fargo at the time. He was registered with ... Continue reading "Scott Polish Permanently Barred for Broker Theft" »
Former Voya broker Martin Stancik was hit with a criminal complaint that he allegedly committed mail fraud and aggravated identity theft. He is also accused of defrauding his clients out of $543,369. ... Continue reading "Former Voya Broker Martin Stancik Hit with Mail Fraud Allegations" »
A former JP Morgan financial advisor, Rick Konecny, has been accused by former clients of recommending unsuitable investments, unauthorized trading and overconcentration. Rick Konecny was discharged ... Continue reading "Rick Konecny Investigated for Unsuitable Investments, Unauthorized Trading & Overconcentration" »
Former Merrill Lynch broker, Sylvester Knox, voluntarily resigned from his position after misconduct of unauthorized trading, unsuitable recommendations, and misrepresentation was alleged by his ... Continue reading "Broker Sylvester Knox Accused of Misrepresentation and Unauthorized Trading" »
Broker Kee Chan recently settled a case with the Securities and Exchange Commission (SEC), which accused him of mortgage-backed securities fraud while he was registered as a broker/dealer with Nomura ... Continue reading "Broker Kee Chan Settles Mortgage-Backed Securities Fraud Allegations With SEC" »
Stockbroker Steven Luftschein is under investigation for unauthorized trading and other stockbroker misconduct. According to a June 2, 2017 BrokerCheck report from the Financial Industry Regulatory ... Continue reading "Steven Luftschein Under Investigation for Alleged Unauthorized Trading, Other Stockbroker Misconduct" »
The investor fraud attorneys at Meyer Wilson are interested in speaking with you if you had money invested by Robert Rotunno, who is accused by several of his former customers of stockbroker ... Continue reading "Meyer Wilson Investigating Broker Robert Rotunno for Alleged Stockbroker Misconduct" »
Former Ameriprise Financial Services, Inc. broker Mark Speakman was recently sentenced to 60 months in prison for defrauding his clients more than $1.1 million in an investment fraud scheme between ... Continue reading "Former Ohio Financial Advisor Mark Speakman Sentenced For Defrauding Clients More Than $1.1 Million" »
Records from the Financial Industry Regulatory (FINRA) show that stockbroker Todd Ryman, who has been registered with SunTrust Investment Services since February 2017, is the subject of several ... Continue reading "Todd Ryman Accused of Recommending Unsuitable Private Investment Fund" »
Michael Patrick Spolar is currently employed by International Assets Advisory LLC. He was previously registered with LPL Financial LLC, Morgan Stanley, Merrill Lynch, Citigroup, and Lehman Brothers. ... Continue reading "Michael P. Spolar Faces Charges of Investment Unsuitability" »
Since the Securities and Exchange Commission (SEC) established rules that now allow individual investors to become involved with securities-based crowdfunding in May of 2016, a number of issuers have ... Continue reading "Keep Your Investments Safe with These Tips About SAFE Securities and Crowdfunding" »
The board of the Financial Industry Regulatory Authority (FINRA) recently moved to increase disclosures from firms and brokers that fail to pay arbitration awards and to strengthen the sanctions they ... Continue reading "FINRA Pushes Along Proposals to Crack Down on Unpaid Arbitration Awards and High-Risk Brokers" »
Stockbroker John Carolyn (CRD# 4485799) is currently registered with UBS Financial Services, Inc. and has been affiliated with the firm in Houston, Texas since February 2002. He was not previously ... Continue reading "Broker John Carolyn Has Been Accused of Overconcentration in Energy Securities" »
Stockbroker Robert Yahney, CRD# 4038119, is currently registered with Merrill Lynch in Tampa, Florida and has been with the firm since 1999. He has not had any previous registrations with other firms ... Continue reading "Broker Robert Yahney Has Been Accused of Omission of Facts and Misrepresentation" »
Broker Jason Lyn Figueroa (CRD #5062799) was formerly registered with The GMS Group, LLC in Boca Raton, Florida from April 2008 to April 2015. During his association with the firm, he was accused of ... Continue reading "Barred Broker Jason Figueroa Has Been Accused of Fraud, Unsuitable Investments and Negligence" »

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