Meyer Wilson

Recovering Losses Caused By Investment Misconduct

Blog Posts in April, 2014

By: David Meyer In an increasingly complicated and volatile investment environment, individual investors have a greater need than ever to protect their hard-earned money against investment industry ... Continue reading "How Individual Investors Can Guard Against Excessive Fees and Self-Serving Brokers" »
By David Meyer Like many investment banks, Morgan Stanley has affiliate relationships with other banks abroad. For customers of an affiliate bank in Switzerland, it opened 140 accounts that were ... Continue reading "FINRA Fines Morgan Stanley for Improperly Supervising Investment Reps" »
By David Meyer Investors have a right to be informed by their broker about the investments they are buying. In addition to having the broker provide a full and fair explanation about the investment, ... Continue reading "FINRA Enforcement Hits Investors Capital Corporation with Big Fines" »
By Courtney Werning Charles Schwab was censured by FINRA, fined $175,000, and ordered to review its Anti-Money Laundering policies with respect to detecting and reporting suspicious incoming wire ... Continue reading "Charles Schwab & Co., Inc. Fined by FINRA for Failure to Detect and Report Suspicious Activity" »
By Chad Kohler The Financial Industry Regulatory Authority (FINRA), the self-regulatory organization that oversees brokerage firms, announced this month that Huntington Investment Company, the ... Continue reading "Regulators Slap Huntington Investment Company with $25,000 Fine and Censure" »
By Courtney Werning An investment adviser is an individual or company who is paid for providing advice about securities to their clients. Although the terms sound similar, investment advisers are not ... Continue reading "The Gap in Regulatory Coverage for Registered Investment Advisors" »
By Chad M. Kohler If you're a customer of a full-service brokerage firm or wirehouse, chances are much of the day-to-day work relating to your investment account is handled by your broker's ... Continue reading "UBS Enters Settlement with Ohio Securities Division Relating to Sales by Unlicensed Sales Assistants" »
By: Courtney Werning According to the recent annual report filed with the SEC by Ladenburg Thalmann Financial Services, Inc., which owns Securities America, the Pennsylvania Department of Banking and ... Continue reading "Securities America is Under Investigation for Sales Practices of Non-Traded REITS" »
By: Courtney Werning The Ohio Division of Securities sanctioned Uvest Financial, Inc. concerning claims that Uvest improperly provided brokerage and investment advisory services for unregistered ... Continue reading "Uvest Financial, Inc. Fined $750,000 by Ohio Division of Securities for Violating the Ohio Securities Act" »

Choose a Firm with Accolades:

  • Super Lawyers
  • Million Dollar Advocates Forum
  • Preeminent AV Peer Review Rated
  • Best Lawyers Lawyer of the Year
  • Best Lawyers Best Law Firm
  • The Best Lawyers in America
  • Avvo 10/10 Rating