Meyer Wilson

Recovering Losses Caused By Investment Misconduct

Blog Posts in 2016

190 results found. Viewing page 1 of 8. Go to page 1 2 3 4 5 6 7 8   Next
The Financial Industry Regulatory Authority (FINRA) announced on Wednesday, December 21 that they have fined 12 separate firms $14.4 million for failing to adequately protect customer and ... Continue reading "A Dozen Firms Fined $14.4 Million After Failing to Protect Records from Alteration" »
On December, 20, 2016, the SEC’s Office of Investor Education and Advocacy issued a bulletin explaining the process involved when a customer of a brokerage firm has a dispute with the firm. The ... Continue reading "The SEC Just Released an Investor Bulletin Explaining the FINRA Arbitration Processes Involved in a Dispute with Your Stockbroker" »
The Massachusetts Securities Division filed an administrative complaint on December 1 st against LPL Financial LLC and its broker and investment adviser Roger S. Zullo (CRD# 1882087) for allegedly ... Continue reading "Massachusetts Securities Division Files Complaint Against LPL Financial and its Broker Roger S. Zullo" »
The securities fraud attorneys at Meyer Wilson are currently investigating claims against broker and investment adviser Matthew J. Giannone (CRD# 2800349). According to the Financial Industry ... Continue reading "Meyer Wilson Investigating Claims Against Oppenheimer Broker Matthew Giannone" »
Smart shoppers know to keep their receipts when making purchases around the holidays, just in case. Smart investors should take note of this practice – while it’s not quite as ... Continue reading "The Importance of Keeping Your Records Updated" »
Meyer Wilson attorneys David Meyer and Matthew Wilson have once again been selected to the list of Super Lawyers – Mr. Meyer for the seventh time in a row, and Mr. Wilson for the third year in a ... Continue reading "Attorneys David Meyer, Matthew Wilson, and Michael Boyle Voted to 2017 List of Super Lawyers and Rising Stars" »
Merrill Lynch, Pierce, Fenner & Smith Inc. has been fined $6.25 million, with an additional $780,000 to be paid in restitution, after the Financial Industry Regulatory Authority (FINRA) found that ... Continue reading "Merrill Lynch Fined $7 Million by FINRA" »
The Financial Industry Regulatory Authority (FINRA) has fined VALIC Financial Advisors, Inc., a Houston-based broker-dealer, $1.75 million. VALIC Financial Advisors consented to the entirety of ... Continue reading "VALIC Financial Advisors, Inc. Fined $1.75 Million" »
Trading binary options may seem tempting depending on your situation, but come with an extremely high level of risk due to the fact that they are all-or-nothing propositions – when they expire, ... Continue reading "Investor Advice: Be Wary Of All-Or-Nothing Options" »
The Financial Industry Regulatory Authority (FINRA) announced on November 17 that it has ordered Oppenheimer & Co. Inc. to pay customers $1.85 million on top of a $1.575 million fine for failing ... Continue reading "Oppenheimer & Co. Sanctioned $3.4 Million for Numerous Violations" »
Former Newbridge Securities Corp. broker Gerald J. Cocuzzo (CRD# 4047511) pleaded guilty to charges relating to his role in a $131 million market manipulation scheme. The United States Department of ... Continue reading "Former Broker Gerald Cocuzzo Pleads Guilty to Securities Fraud" »
The securities fraud attorneys at Meyer Wilson are currently investigating claims against former broker Jay J. Gruenebaum (CRD# 2351888). The Financial Industry Regulatory Authority (FINRA), has ... Continue reading "Meyer Wilson Investigating Claims Against Former Broker Jay Gruenebaum" »
Following Ameriprise Financial Services, Inc.’s failure to detect that one of their registered representatives had converted more than $370,000 from customer accounts, the Financial Industry ... Continue reading "Don't Forget About Your Brokerage Account Statement" »
The National Association for Fixed Annuities’ (NAFA) attempt to challenge the Department of Labor’s (DOL) new fiduciary rule for retirement advice was denied by a federal judge in ... Continue reading "Federal Court Upholds DOL Fiduciary Duty Rule" »
Losing your money to a bad investment or scam can be devastating both financially and personally, but all hope isn’t necessarily lost. You have several options that you can pursue in order to ... Continue reading "Legitimate Ways to Recover Your Losses" »
The securities fraud attorneys at Meyer Wilson are currently investigating claims against former brokers Wendy B. Feldman (CRD# 1946800) and Peter J. Doyle (CRD# 2370593). According to the Financial ... Continue reading "Meyer Wilson Investigating Claims Against Former Brokers Wendy Feldman and Peter Doyle" »
Meyer Wilson was recently recognized by U.S. News and Best Lawyers as a Tier 1 2017 Best Law Firm for Mass Tort Litigation / Class Actions – Plaintiffs and Professional Malpractice Law – ... Continue reading "Meyer Wilson Listed As A Tier 1 Best Law Firm" »
Six people previously found guilty of attempting to defraud almost 70 investors of more than $17 million through the Northeast Ohio KGTA Ponzi scheme were sentenced on October 20th. The securities ... Continue reading "KGTA Ponzi Schemers Sentenced For Defrauding Investors $17 Million" »
Meyer Wilson Representing Investors in Claims Against TD Ameritrade Relating to Sales of Investments in Aequitas Management and Related Entities If you are a current or former customer of TD ... Continue reading "Investigating Claims Against TD Ameritrade, Aequitas Management" »
The securities fraud attorneys at Meyer Wilson are currently investigating claims against former broker Jeffrey H. Howell (CRD# 4561368). The Financial Industry Regulatory Authority (FINRA) has ... Continue reading "Meyer Wilson Investigating Claims Against Former Broker Jeffrey Howell" »
Meyer Wilson’s securities fraud attorneys have been investigating claims against Robert N. Tricarico (CRD# 1500863), formerly a broker at LPL Financial LLC. We previously reported on former LPL ... Continue reading "Robert Tricarico Sentenced to 41 Months in Prison" »
Pump-and-dump scams, also known as boiler room scams, used to rely on cold calls as a way to artificially increase the price of a stock and take advantage of unsuspecting investors. Nowadays, scammers ... Continue reading "Don't Fall Prey To Digital "Pump And Dump" Scams" »
Meyer Wilson’s securities fraud attorneys have been investigating claims against Andrew W.W. Caspersen (CRD# 6149640), formerly a broker at Park Hill Group LLC since April. We previously ... Continue reading "Andrew Caspersen Pleads Guilty to Defrauding Investors" »
While the specific procedures regarding how brokerage account assets will be transferred or passed on to beneficiaries and heirs can vary between firms, many of them utilize specially trained staff ... Continue reading "What Happens After a Brokerage Account Holder Dies?" »
UBS Financial Services has agreed to pay over $15 million, following an investigation by the United Sates Securities and Exchange Commission (SEC), in order to settle charges of failing to properly ... Continue reading "UBS Charged With Supervisory Failures by the SEC" »
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