Meyer Wilson

Recovering Losses Caused By Investment Misconduct

Recent Posts in Common Investment Misconduct Claims Category

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Stifel, Nicolaus Broker Jon Schmidhammer Has History of Regulatory Problems By: David P. Meyer, Esq., Founding Partner of Meyer Wilson An elderly client living in Upper Arlington, Ohio, had $500,000 ... Continue reading "Columbus Stockbroker Arrested for Stealing $500,000 from an Elderly Upper Arlington Resident, According to Police" »
Some firms are endorsing high CD yields even though they can be extremely costly and risky. Why? While some of these promotional rates may be legitimate, others may just be marketing ploys purely for ... Continue reading "Warning to Investors: Watch Out for High-Yield CD Offers" »
From January 6, 2011 to May 2, 2012, broker William Wesley Marshall (CRD# 3267723) allegedly participated in the sale of $1.72 million in privately issued preferred stock to his supervisor, Complex ... Continue reading "Ameriprise Broker William Wesley Marshall Accused of Misconduct, Meyer Wilson Investigates" »
Our securities fraud attorneys are investigating misconduct allegations surrounding Robert Regan of NFP Securities. According to proceedings brought by the Financial Industry Regulatory Authority ... Continue reading "Meyer Wilson Investigating Allegations Surrounding NFP Securities Broker Robert Regan" »
On February 3, 2016, FINRA filed an order accepting offer of settlement. Walter Francis Grenda, Jr. has been barred from associating with any FINRA member in any capacity. FINRA recently accepted an ... Continue reading "Update on Former MACC Broker Walter Francis Grenda, Jr." »
On February 3, 2016, the Securities and Exchange Commission announced charges of fraud against a lending company out of Manhattan and its owner. Fraud charges were also levied against the brokerage ... Continue reading "Lending Company and Brokerage Firm Charged with Fraud" »
Budget Finance Company abruptly closed recently, causing many of its clients to worry about the security of their investments. Last month, federal agents raided the West Virginia investment and ... Continue reading "Ponzi Scheme Suspected in West Virginia" »
According to the SEC, registered representatives Matthew Bell and Craig Josephberg were involved in an elaborate pump and dump scheme. The U.S. Securities and Exchange Commission (SEC) accuses Matthew ... Continue reading "Matthew A. Bell, Craig L. Josephberg Accused of Involvement in Pump & Dump Scheme" »
According to FINRA’s allegations, former financial advisor Jonathan Greenfield made various false and misleading statements to customers regarding GWG Renewable Secured Debentures. The Financial ... Continue reading "Former Broker Jonathan Greenfield Accused of Misconduct Involving GWG Renewable Secured Debentures" »
An Ohio registered investment adviser, Douglas Cowgill, recently pleaded guilty to defrauding his clients. Back in May 2014, Meyer Wilson reported on the Ohio registered investment adviser who had ... Continue reading "Douglas E. Cowgill Pleads Guilty to Fraud" »
Ralph Willard Savoie (CRD# 411660) accepted and consented to findings by the Financial Industry Regulatory Authority (FINRA) that accused him of refusing to respond to their requests for information ... Continue reading "Former Cambridge Broker Ralph Savoie Accused of Misconduct, Meyer Wilson Investigates" »
FINRA issued an Investor Alert on Thursday, November 5, 2015, informing investors of a potential scam using impersonations of the Internal Revenue Service. The alert warns investors of the risks of ... Continue reading "FINRA Investor Alert: Phones & Emotions Used as Tools for Fake IRS Scam" »
The Financial Industry Regulatory Authority (FINRA), the self-regulatory organization that oversees brokerages firms, issued an Investor Alert last week warning investors about the significant risks ... Continue reading "FINRA Investor Alert: All-Or-Nothing Binary Options Frequently Fraudulent" »

The Risks of Investing On Margin

Investing on margin is a very difficult and risky investment to make unless you are a seasoned investor. Oftentimes, there are investors who are just starting or have very little experience in ... Continue reading "The Risks of Investing On Margin" »
A recent investigation conducted by a U.S. Senator’s office revealed that companies that represent billions in annuity sales offer kickbacks to sales agents and marketing organizations in ... Continue reading "Slimy Sales Practices in the Annuity Industry: Kickbacks and Perks Can Often Result in Unsuitable Investment Recommendations" »
Last week, the SEC brought cease and desist proceedings against former broker Howard D. Richards (CRD# 2172691) for engaging in securities fraud. During the relevant period, Richards was a licensed ... Continue reading "Meyer Wilson Investigating Claims Involving Former Minnesota Broker Howard Richards" »
On December 10, 2014, the Securities and Exchange Commission (SEC) instituted cease-and-desist proceedings against Walter Francis Grenda, Jr. (CRD# 722911) and the company he jointly owned, Reliance ... Continue reading "Meyer Wilson Currently Investigating Allegations Against Former Broker Walter Francis Grenda, Jr." »
Two men from Colorado and Massachusetts have been charged by the Securities and Exchange Commission (SEC) for allegedly engaging in stock manipulation and misleading investors with false ... Continue reading "NEWS: Two Men Charged with Conducting Stock Fraud" »
The SEC announced last week that it was bringing charges against Benjamin Wey, a Wall Street CEO, and his company, New York Global Group (NYGG), over allegations that they participated in a scheme to ... Continue reading "NEWS: SEC Announces Charges Against Benjamin Wey and New York Global Group" »
Brantly Chavis (CRD# 5577031), formerly a broker with OneAmerica, allegedly converted the funds of a OneAmerica customer as part of an outside business activity he failed to disclose to OneAmerica, ... Continue reading "Former OneAmerica Broker Brantly Chavis Accused of Misconduct, Meyer Wilson Investigates" »
The Securities and Exchange Commission has brought forth a complaint against Nomura International Securities’ senior traders Ross Shapiro ( CRD# 4260687 ), Michael Gramins (CRD# 4826040), and ... Continue reading "The SEC Indicts Former Nomura Traders with Fraud, Meyer Wilson Investigating" »
The Financial Industry Regulatory Authority “FINRA” accused Joseph Schroeder (CRD# 1293346) of recommending and conducting sales of undisclosed securities to firm customers without proper ... Continue reading "Meyer Wilson Investigates Allegations Against Broker Joseph Schroeder" »
Walter Rae Chao ( CRD# 4665787 ) was fired by LPL Financial in September 2012 because the broker-dealer claimed that Chao violated firm policies in regard to participation in private securities ... Continue reading "Former LPL Broker Walter Chao Accused of Misconduct, Meyer Wilson Investigates" »
In July 2010, a senior executive at Guggenheim, a subsidiary to Guggenheim Partners LLC, allegedly accepted a loan from an advisory client and failed to report it to the compliance staff. According to ... Continue reading "NEWS: Guggenheim Partners Investment Management Agrees to Pay Fine for Violation of Disclosure to Clients" »
UBS was ordered to pay $750,000 to satisfy claims that accuse the brokerage firm of failure to supervise and inadequate supervisory systems regarding trading errors at UBS retail branches that ... Continue reading "NEWS: UBS Fined $750,000 for Failure to Supervise" »
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