Meyer Wilson

Recovering Losses Caused By Investment Misconduct

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Stifel, a wealth management and investment banking firm, was recently ordered to pay more than $117,000 to an elderly couple after their investment adviser placed their savings into risky investments ... Continue reading "Meyer Wilson Attorney Courtney Werning Helps Couple Recover $100k in Losses" »
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 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" »
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" »
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" »
If you’ve ever picked up a call from an unknown number and heard a high-intensity sales pitch for the latest and greatest hot stock, then you’ve experienced what’s known as a boiler ... Continue reading "FINRA Warns Investors Over Boiler Room Scams" »
Ameriprise Financial Services, Inc. has been fined $850,000 by the Financial Industry Regulatory Authority (FINRA) after the company failed to detect that one of its registered representatives ... Continue reading "FINRA Fines Ameriprise Financial $850,000 for Supervisory Failures" »
The United States Securities and Exchange Commission (SEC) announced on September 8 th that they settled $850,000 worth of charges with the investment advisory firms Raymond James & Associates ... Continue reading "SEC Fines Raymond James and Robert W. Baird & Co. $850,000 Over Compliance Failures" »
Federal securities regulators have been relying on an increasing number of confidential informants, also called whistle-blowers, to find and prosecute wrongdoing in the financial sector following the ... Continue reading "Securities Fraud Whistle-Blowers Are Being Rewarded" »
Founding Partner of Meyer Wilson David Meyer has been selected by his peers to the 2017 list of The Best Lawyers in America © . He has been included in the list every year since 2011. The list, ... Continue reading "David Meyer Named to the 2017 List of 'The Best Lawyers in America'" »
According to the Financial Industry Regulatory Authority (FINRA), Securities America Inc. (CRD# 10205 / SEC# 8-26602) has agreed to pay $1.54 million to eligible customers who did not receive mutual ... Continue reading "Securities America Agrees to Pay Over $1.5 Million in Restitution" »
Barclays Capital Inc. (CRD# 19714 / SEC# 8-41342) was fined $1.3 million by the Financial Industry Regulatory Authority (FINRA) for supervisory failures related to systemic reporting violations to the ... Continue reading "Barclays Capital Inc. Fined $1.3 Million for Extensive Violations and Failures" »
The Financial Industry Regulatory Authority (FINRA) announced on Monday, August 8 that it had fined Deutsche Bank Securities Inc. $12.5 million for failing to adequately supervise certain information ... Continue reading "Deutsche Bank Securities Inc. Fined $12.5 Million by FINRA" »
In December of 2014, we posted a blog regarding allegations against J.P. Morgan Securities, LLC and one of the firm’s registered representatives, Robert Owen Klein (CRD# 1254422). At the time, ... Continue reading "J.P. Morgan Securities Broker Robert Owen Klein Subject of Multiple Customer Complaints" »
Northeast Ohio investment adviser Geoffrey W. Nehrenz (CRD# 4301019) has been sentenced to nearly five years in prison after allegations of defrauding investors out of roughly $5.6 million. Nehrenz, ... Continue reading "Northeast Ohio Broker Geoffrey W. Nehrenz Sentenced to Nearly 5 Years" »
Thomas Abdallah, Mark George, and Jeffrey Gainer have pleaded guilty to their involvement in the large Akron-based Ponzi scheme involving the company KGTA Petroleum Ltd., a purported company that sold ... Continue reading "Ohio Men Plead Guilty in $17 Million Ponzi Scheme" »

SEC and FINRA Fine Merrill Lynch

Last month, when the Securities and Exchange Commission (SEC) fined Merrill Lynch $415 million, the firm was also fined $5 million by the Financial Industry Regulatory Authority (FINRA) for negligent ... Continue reading "SEC and FINRA Fine Merrill Lynch" »

New Campaign for Investors Launches

With their new “Campaign for Investors” initiative, the Institute for the Fiduciary Standard hopes that by providing educational resources and tools, they can put the fiduciary standard in ... Continue reading "New Campaign for Investors Launches" »
The Financial Industry Regulatory Authority (FINRA) announced on June 8 that they fined Oppenheimer & Co. Inc. $2.25 million and have ordered the firm to pay $716,000 in restitution to various ... Continue reading "Oppenheimer & Co. Sanctioned $2.9 Million in Fines and Other Penalties for Unsuitable Sales" »
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 $17 Million for Systemic Anti-Money Laundering Compliance Failures" »
Last month, we posted a blog discussing a new program — Senior$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" »
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" »
The Springboro, Ohio couple accused of running a Ponzi scheme will have their trial delayed until February 6, 2017. Judge Thomas Rose of Dayton’s U.S. District Court granted an unopposed defense ... Continue reading "Apostelos Saga Continues, Ohio Couple's Ponzi Scheme Trial Delayed" »
In October of 2015, our team posted a blog regarding Michael Donnelly, former president of Coastal Investment Advisors Inc., and his agreement to settle charges with the Securities and Exchange ... Continue reading "Former Head of Coastal Investment Advisors Michael Donnelly Sentenced to Prison" »
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