Meyer Wilson

Recovering Losses Caused By Investment Misconduct

Blog Posts in December, 2014

On December 16, 2014, the Financial Industry Regulatory Authority ("FINRA") banned a Wells Fargo stockbroker from ever working in the industry again. According to the Letter of Acceptance, ... Continue reading "Wells Fargo Broker Banned For Stealing from Elderly Client" »
The investment fraud lawyers at Meyer Wilson are investigating a case regarding broker Leonid Yurovsky. FINRA's records indicate that Yurovsky has two reported disclosure events – an ... Continue reading "Meyer Wilson Investigation: Former John Thomas Financial Broker Leonid Yurovsky" »
Meyer Wilson is currently investigating claims involving former Broker Frederick V. McMenimen III of New Hampshire. According to The State of New Hampshire Bureau of Securities Regulation, Frederick ... Continue reading "Meyer Wilson Investigation: Former Broker Frederick V. McMenimen III" »
According to an InvestmentNews article published yesterday, asset managers are able to stay profitable due mostly to the sale of high-priced alternative investments. By 2020, it is projected that ... Continue reading "High Costs of Alternative Investments and Managed Mutual Funds Drive Broker Paydays" »
The Financial Industry Regulatory Authority ("FINRA") fined Merrill Lynch, Pierce, Fenner & Smith Inc. ("Merrill Lynch") $1.9 million last week. According to FINRA, in 716 ... Continue reading "FINRA Fines Merrill Lynch Almost $2 Million for Supervisory Failures and Unfair Pricing" »
Ken Grant was charged this week by federal prosecutors in the Northern District of Ohio with defrauding about 70 investors out of approximately $17 million. Grant waived his right to prosecution by ... Continue reading "Criminal Charges Filed in Ohio Ponzi Scheme Against KGTA Principal Ken Grant" »
J.P. Morgan Securities, LLC (" J.P. Morgan ") was recently ordered by a three-person arbitration panel to pay two of its clients $485,000 in damages. The clients filed an arbitration against ... Continue reading "J.P. Morgan Securities Ordered to Pay $485,000 to Clients" »
By Chad M. Kohler, Esq. It was announced last week that Citigroup Global Markets, Inc. (" Citigroup "), the brokerage arm of Citigroup, Inc., was fined $15 million by the Financial Industry ... Continue reading "Citigroup Brokerage Unit Fined $15 million for Supervisory Failures Relating to Equity Research" »

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