Meyer Wilson

Recovering Losses Caused By Investment Misconduct

Recent Posts in Securities Arbitration Category

J.P. Morgan Securities, LLC (" J.P. Morgan ") was recently ordered by a three-person arbitration panel to pay two of its clients $485,000 in damages. The clients filed an arbitration against ... Continue reading "J.P. Morgan Securities Ordered to Pay $485,000 to Clients" »
The U.S. Court of Appeals for the District of Columbia Circuit recently affirmed a trial court's order denying an investors' rights group's Freedom of Information Act request for certain ... Continue reading "Major Blow to Transparency Efforts of SEC Oversight of FINRA Arbitration" »
By Courtney Werning An investment adviser is an individual or company who is paid for providing advice about securities to their clients. Although the terms sound similar, investment advisers are not ... Continue reading "The Gap in Regulatory Coverage for Registered Investment Advisors" »
By: Courtney Werning According to the recent annual report filed with the SEC by Ladenburg Thalmann Financial Services, Inc., which owns Securities America, the Pennsylvania Department of Banking and ... Continue reading "Securities America is Under Investigation for Sales Practices of Non-Traded REITS" »

There's NEVER a "Free Lunch"

Avoiding Scams at the Holidays: Part Two of a Six-Part Meyer Wilson Blog Series It's the giving time of year. Spirits run high; twinkling lights appear all around us; cards flood our mailbox. ... Continue reading "There's NEVER a "Free Lunch"" »
When John Otto's clients finally realized he had cheated them out of millions, he committed suicide to evade the consequences. Now, an appellate court has ruled that Otto's widow must pay the ... Continue reading "Wife Is Liable to Victims After Ponzi-Schemer Husband Commits Suicide" »
The Division of Securities along with the North American Securities Administrators Association (NASAA) released a new list of Top Investor Threats. This year's list has the Jumpstart Our Business ... Continue reading "New List of Top Investor Threats Released" »
Public information on stockbrokers may be incomplete according to a recent study conducted by the Public Investors Arbitration Bar Association (PIABA). The study revealed that the overwhelming ... Continue reading "Study Reveals 90 Percent of Expungements Are Granted in Stockbroker Arbitration Cases" »
Two Arizona-Based Brokers Charged with Stealing from Investors in Tankless Water Heater Venture Two former Arizona brokers have been charged with stealing over a million dollars from investors in a ... Continue reading "Arizona Brokers, Jeffrey Stebbins and Corbin Jones, Charged with Investment Fraud" »
A stockbroker fraud lawyer explains more about how brokers guard against overconcentration and what to do if you suspect stockbroker misconduct. You trust your stockbroker to manage your portfolio ... Continue reading "What Your Broker Should Be Doing to Prevent Overconcentration" »
In 2010, an elderly couple, Hurshel and Mildred Tyler of Texas, filed a claim against Raymond James that accused one of the firm's Texas branches of fraud, concealment, and unsuitable sales. ... Continue reading "FINRA Panel Rules Against Raymond James - Issues $1.5 Million Award to Investors" »
Last week, a FINRA arbitration panel issued a $54 million award to a group of investors in a claim against Citigroup Global Markets Inc. Investors filed the claim in 2009 and alleged breach of ... Continue reading "FINRA Awards Investors $54 Million in Citigroup MAT/ASTA Case" »
Last week, the SEC finally approved FINRA's proposed changes to the arbitration discovery guide ("CORRECT: SEC Approves Finra Securities-Arbitration Discovery Proposal," Dow Jones ... Continue reading "SEC Approves Controversial FINRA Revisions to Securities Arbitration Discovery Guide" »
Investors were awarded damages (monetary damages or non-monetary relief) in over half (51 percent) of the arbitration cases decided by a FINRA panel in January and February, according to a summary ... Continue reading "Summary Shows Investors Continue to Prevail in FINRA Arbitration Decisions" »
A FINRA arbitration panel has found Morgan Keegan & Co. Inc. liable for both compensatory and punitive damages in an arbitration claim that involved a Madoff "feeder fund," Greenwich ... Continue reading "Morgan Keegan Ordered to Pay Punitive Damages in Madoff Feeder Fund Case" »
On Monday, a three-member FINRA arbitration panel awarded a group of investors $6.4 million in an arbitration claim against two units of Citigroup Inc. for losses related to investments in a series of ... Continue reading "FINRA Orders Citigroup to Pay $6.4 Million to Investors for Losses in Municipal Arbitrage Fund" »
A husband and wife in their 70s recently won the largest DBSI-related arbitration award to date - $1.6 million - in a claim filed against QA3 Financial Corp, according to a Jan. 23 InvestmentNews ... Continue reading "FINRA Awards Investors $1.6 Million in Claim Related to DBSI-Packaged TICs" »

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