Meyer Wilson

Recovering Losses Caused By Investment Misconduct

Blog Posts in May, 2016

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On May 17, 2016, the Securities and Exchange Commission announced that a former company insider would be awarded between $5 and $6 million for detailed tips regarding securities violations that the ... Continue reading "Whistleblower Receives Over $5 Million in SEC Award" »
Our securities fraud lawyers at Meyer Wilson are currently investigating allegations against broker David Tysk (CRD# 1782289) The Financial Industry Regulatory Authority (FINRA) has fined Ameriprise ... Continue reading "Meyer Wilson Investigating Claims Against Broker David Tysk" »
Jeffrey A. Martinovich, the former CEO of MICG Investment Management LLC, pleaded guilty to one count of money laundering on May 13, 2016. He entered the plea agreement in U.S. District Court in ... Continue reading "Jeffrey A. Martinovich Pleads Guilty To Count of Money Laundering" »
The Financial Industry Regulatory Authority (FINRA) is requesting documents and information from brokerage firms in order to conduct a targeted exam related to mutual fund overcharges. They are ... Continue reading "FINRA Requests Information in Mutual Fund Waiver Sweep" »
Our firm previously posted a blog regarding Massachusetts-based investment advisor Gregg D. Caplitz, detailing the charges against him for hedgefund fraud in which he was accused of stealing $1.3 ... Continue reading "Gregg D. Caplitz Sentenced for Alleged $1.3 Million Hedgefund Fraud" »
Meyer Wilson’s securities fraud lawyers are currently investigating allegations made against broker William David Utanski (CRD# 2576809). According to publicly-available records, broker William ... Continue reading "Meyer Wilson Investigating Claims Against Broker William David Utanski" »
On May 6, we posted a blog regarding sanctions against MetLife Securities Inc., totaling $25 million for alleged misrepresentations and omissions involving variable annuity replacements. The alleged ... Continue reading "Compensation from MetLife Securities, Inc. for Variable Annuity Replacements" »
Investing for retirement is important, but it’s not always easy to know what your best option is. If you’ve chosen a variable annuity (VA), it’s especially important to investigate ... Continue reading "Do You Know When to Change Your Variable Annuity?" »
As of May 16, 2016, new rules will permit the general public to invest in capital raising by start-up companies through crowdfunding transactions. The Financial Industry Regulatory Authority (FINRA) ... Continue reading "Understanding Crowdfunding and the JOBS Act" »
The securities fraud attorneys at Meyer Wilson are currently investigating claims against broker James Michael Noto (CRD# 1030904). James Noto first entered the securities industry in 1982 when he ... Continue reading "Meyer Wilson Investigating Claims Against Broker James Noto" »

Stephens Inc. Fined $900,000 by FINRA

Little Rock, Arkansas-based brokerage firm Stephens Inc., has been fined $900,000 by the Financial Industry Regulatory Authority after allegedly providing inadequate supervision of firm-wide internal ... Continue reading "Stephens Inc. Fined $900,000 by FINRA" »
Our securities fraud lawyers at Meyer Wilson are currently investigating allegations against broker Craig Lansing Hayward (CRD# 2475334). Craig Lansing Hayward has been a registered broker since 1994 ... Continue reading "Meyer Wilson Investigating Claims Against Broker Craig Lansing Hayward" »
The Financial Industry Regulatory Authority (FINRA) announced that it has fined Raymond James & Associates, Inc. (RJA) and Raymond James Financial Services, Inc. (RJFS) (collectively, Raymond ... Continue reading "Raymond James Fined $17 Million for Systemic Anti-Money Laundering Compliance Failures" »
Our security fraud attorneys at Meyer Wilson are currently investigating claims against former broker Lance J. Ziesemer. In order to settle proceedings with the Financial Industry Regulatory Authority ... Continue reading "Meyer Wilson Investigating Claims Against Former Broker Lance J. Ziesemer" »
April 20 marked the one-year anniversary of the Financial Industry Regulatory Authority’s Securities Helpline for Seniors. This was a program designed to help elderly investors protect ... Continue reading "FINRA Securities Helpline for Seniors Hits First Year" »
Meyer Wilson is now investigating claims against former BancWest Investment Services, Inc. and U.S. Bancorp Investments, Inc. broker John S. Hudnall (CRD# 4200298). According to the Financial Industry ... Continue reading "Meyer Wilson Investigating Claims Against Former Broker John S. Hudnall" »
Recently, the Financial Industry Regulatory Authority (FINRA) released tips to help individuals automatically save for retirement. It is important to make sure that you are in a position to save for ... Continue reading "Tips for Automatically Saving for Retirement" »
Last month, we posted a blog discussing a new program — Senior$afe — created by the Maine Council for Elder Abuse Prevention that would help individuals spot and report financial abuse of ... Continue reading "Senator Enlists Regulators to Help Pass Senior Financial Protection Bill" »
The securities fraud attorneys at Meyer Wilson are currently investigating claims against broker David Colflesh (CRD# 1184117) Missouri-based NYLife Securities broker David Colflesh has 13 pending ... Continue reading "Meyer Wilson Investigating Claims Against Broker David Colflesh" »
Last month, we posted a blog on former LPL Financial broker Charles Caleb Fackrell, who was facing charges amidst allegations of him selling sham investments to clients in a Ponzi scheme. Earlier this ... Continue reading "Former LPL Broker Charles Caleb Fackrell Pleads Guilty to Securities Fraud" »
The securities fraud attorneys at Meyer Wilson are currently investigating allegations against former Wells Fargo broker Charles Bernard Lynch, Jr. (CRD# 3004877). According to his Financial Industry ... Continue reading "Meyer Wilson Investigating Claims Against Former Broker Charles Lynch" »
On April 19, 2016, the Financial Industry Regulatory Authority accepted the signed Letter of Acceptance, Waiver and Consent (AWC) from former LPL Financial LLC broker Gerard A. Fagnant. According to ... Continue reading "Meyer Wilson Investigating Claims Against Former LPL Financial Broker Gerard A. Fagnant" »
Every year, the Employee Benefit Research Institute releases a Retirement Confidence Survey. This year, the survey showed that more workers are confident about retiring comfortably than they were in ... Continue reading "Investor Education: Can You Retire Comfortably?" »
On April 8, 2015, the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) initiated disciplinary proceedings against Giovanni L. Acevedo (CRD# 2508321). On January 15, ... Continue reading "Former Broker Giovanni L. Acevedo Banned by FINRA" »
A group of Ohio men was recently convicted of scamming more than 500 people out of $10 million. The U.S. Attorney’s Office for the Northern District of Ohio announced the conviction of four Ohio ... Continue reading "Four Men in Ohio Convicted of Defrauding 500 Investors" »
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