Meyer Wilson

Recovering Losses Caused By Investment Misconduct

Blog Posts in May, 2017

Michael Patrick Spolar is currently employed by International Assets Advisory LLC. He was previously registered with LPL Financial LLC, Morgan Stanley, Merrill Lynch, Citigroup, and Lehman Brothers. ... Continue reading "Michael P. Spolar Faces Charges of Investment Unsuitability" »
Since the Securities and Exchange Commission (SEC) established rules that now allow individual investors to become involved with securities-based crowdfunding in May of 2016, a number of issuers have ... Continue reading "Keep Your Investments Safe with These Tips About SAFE Securities and Crowdfunding" »
The board of the Financial Industry Regulatory Authority (FINRA) recently moved to increase disclosures from firms and brokers that fail to pay arbitration awards and to strengthen the sanctions they ... Continue reading "FINRA Pushes Along Proposals to Crack Down on Unpaid Arbitration Awards and High-Risk Brokers" »
Stockbroker John Carolyn (CRD# 4485799) is currently registered with UBS Financial Services, Inc. and has been affiliated with the firm in Houston, Texas since February 2002. He was not previously ... Continue reading "Broker John Carolyn Has Been Accused of Overconcentration in Energy Securities" »
Stockbroker Robert Yahney, CRD# 4038119, is currently registered with Merrill Lynch in Tampa, Florida and has been with the firm since 1999. He has not had any previous registrations with other firms ... Continue reading "Broker Robert Yahney Has Been Accused of Omission of Facts and Misrepresentation" »
Broker Jason Lyn Figueroa (CRD #5062799) was formerly registered with The GMS Group, LLC in Boca Raton, Florida from April 2008 to April 2015. During his association with the firm, he was accused of ... Continue reading "Barred Broker Jason Figueroa Has Been Accused of Fraud, Unsuitable Investments and Negligence" »
The Financial Industry Regulatory Authority (FINRA) has recently received an increasing number of reports of people receiving unexpected checks, sometimes from organizations with names of objects ... Continue reading "Protecting Yourself from Fake Check Scams" »
The Financial Industry Regulatory Authority (FINRA) began noticing fake transfer requests about five years ago and according to their disciplinary database, there have been 42 cases dating back to ... Continue reading "Scammers Attempting To Fool Brokerages with Fake Email Transfer Requests" »
Thomas Edward Andrews, formerly a stockbroker with LPL Financial, is currently serving time in federal prison after pleading guilty to securities and mail fraud. The Securities and Exchange Commission ... Continue reading "SEC Accuses Thomas E. Andrews of Investor Fraud and Misappropriation of Funds" »
If you lost money investing with former Ameriprise Financial Services, Inc. broker and investment adviser Peter F. Butler (CRD# 1942182), our securities fraud attorneys at Meyer Wilson may be able to ... Continue reading "Did You Lose Money Investing With Peter Butler?" »
Meyer Wilson is investigating investments made by Gregg D. Templeton (CRD# 2412775), who has been accused of misrepresentation and omissions. He is no longer registered with any brokerage firm. ... Continue reading "Meyer Wilson Investigating Broker Gregg D. Templeton Over Allegations of Misrepresentation and Omissions" »
Meyer Wilson is investigating investments made by William Francis Gillis (CRD# 1198878), a National Securities Corporation broker from Seattle. According to an April 17 BrokerCheck report by the ... Continue reading "Meyer Wilson Investigating Multiple Stockbroker Fraud Allegations Against William Francis Gillis" »
Minnesota stockbroker Steven Knuttila (CRD# 3039112) has been hit with nine customer complaints relating to unsuitable recommendations and poor investment advice. Steven Knuttila is currently ... Continue reading "Steven Knuttila Investigated for Unsuitability and Poor Investment Advice" »
Richard Broadstone, a stockbroker in New Albany, Ohio, has been discharged from UBS Financial and barred for unauthorized trading. Richard Broadstone worked at UBS Financial for about 10 years. During ... Continue reading "Stockbroker Ronald Broadstone Discharged and Barred for Unauthorized Trading" »

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