Meyer Wilson

Recovering Losses Caused By Investment Misconduct

Blog Posts in January, 2016

A Manhattan-based investment advisory firm and a Toronto-based hedge fund manager have agreed to reimburse $2.877 million to investors who lost money. The SEC announced the decision after charges ... Continue reading "Hedge Fund Manager Reimbursing Investors $2.877 Million" »
In September, 2015, we posted a blog regarding former Dallas broker Wade Lawrence (CRD# 4512225) after he failed to appear for testimony during FINRA’s investigation. Last week, Lawrence was ... Continue reading "Former Dallas Broker Wade Lawrence Gets 3-Year Prison Sentence for Fraud" »
Brokers, brokerage firms, and others in the investment world are beginning to worry that securities regulators’ concerns over senior financial abuse could add more regulations and cost their ... Continue reading "Regulator Concerns Over Senior Financial Abuse Causes Firms to Worry About Increase Costs" »
Former broker Mark Preston French (CRD# 2951572) pleaded guilty today to one count of wire fraud in U.S. District Court in Columbus, Ohio. The case stems from allegations that French was involved in ... Continue reading "Guilty Plea by Former Ohio Stockbroker Mark Preston French" »
Former Cambridge Investment Research, Inc. broker Sheldon J. Harber (CRD# 867340) has submitted a Letter of Acceptance, Waiver and Consent to allegations against him for improperly engaging in private ... Continue reading "Meyer Wilson Investigating Claims Against Former Cambridge Broker Sheldon J. Harber" »
The Securities and Exchange Commission (SEC) recently announced that a Denver-based alternative fund manager has agreed to settle charge against it. The SEC had made allegations that the firm ... Continue reading "SEC Announces Settlement with Fund Manager" »
FINRA recently released a new Investor Alert to help investors keep their accounts secure and protect their financial information. The goal of an Investor Alert is to provide investors with ... Continue reading "Investor Tips: Protect Your Financial Information" »
Goldman, Sachs & Co. has been charged by the Securities and Exchange Commission after allegations regarding improper securities lending practices. In order to settle the charges, Goldman Sachs ... Continue reading "Goldman Sachs Fined $15 Million After Alleged Violations of Federal Regulations" »
According to the Securities and Exchange Commission, State Street Bank and Trust Company has agreed to pay $12 million in order to settle charges brought by the Commission. The charges claim that ... Continue reading "State Street Bank and Trust Company Pays $12 Million to Settle Charges" »
Since its launch in April of last year, the FINRA Securities Helpline for Seniors™ has helped a number of investors. Many of the fielded calls concern common scams that seniors often experience ... Continue reading "FINRA Senior Hotline Provides Lessons for Investors" »
In December 2015, we posted a blog regarding our investigation of former Questar Capital Corporation broker Kevin D. Wanner (CRD# 1402627). In the blog, we discussed how the North Dakota Securities ... Continue reading "Former Questar Capital Corporation Broker Kevin D. Wanner Barred by FINRA" »
The Securities and Exchange Commission has filed a complaint against former brokers Sheif F. Khan, Larry S. Werbel, and Christopher Cervino this week in the United States District Court for the ... Continue reading "Meyer Wilson Investigating Larry S. Werbel Investment Fraud Allegations" »

Hiring a Financial Professional

If you have made the decision to hire a financial professional, you may not know where to begin. Before you hire a financial or investment professional, you want to make sure that you know what to ... Continue reading "Hiring a Financial Professional" »
FINRA has announced that Barclays Capital, Inc. has submitted a Letter of Acceptance, Waiver, and Consent after findings showed the firm allegedly had inadequate supervisory systems and written ... Continue reading "Barclays Capital, Inc. Fined By FINRA" »

FBI Warns of Get-Rich-Quick Schemes

In 2008, investigators discovered that Goldfinger Coin & Bullion was allegedly operating as a money-transmitter and the owners earned millions of dollars on transaction fees. The company was ... Continue reading "FBI Warns of Get-Rich-Quick Schemes" »
On Monday, December 21, 2015, FINRA issued an Investor Alert regarding the growing trend of offerings in securities-backed lines of credit (SBLOCs). Numerous investors have received offers from ... Continue reading "Investor Alert: What You Should Ask About Securities-Backed Lines of Credit" »

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