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Recent Posts in Securities Fraud Category

219 results found. Viewing page 1 of 9. Go to page 1 2 3 4 5 6 7 8 9   Next
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" »
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" »
Meyer Wilson is investigating potential unauthorized trading claims against former broker Jeffrey T. Kluge (CRD# 2187964). Kluge’s broker career consists of a single 25-year registration with ... Continue reading "Broker Jeffrey T. Kluge Under Investigation for Unauthorized Trading" »
Broker Jeffrey Randolph Wilson (CRD #1161819) is currently registered with Wells Fargo Clearing Services, LLC in Las Cruces, New Mexico and has been with the firm since May 23, 2014. During his ... Continue reading "Broker Jeffrey Wilson Under Investigation for Excessive Trading, Unsuitable Recommendations" »
Stockbroker Donnie Eugene Ingram (CRD# 1416971), formerly of Investors Capital Corporation of Winter Haven, Fla. is under investigation for several possible instances of unsuitable investment ... Continue reading "Did Former Investors Capital Corp. Financial Advisor Donnie Ingram Make Unsuitable Investment Recommendations for You?" »
Meyer Wilson is now investigating potential claims of improper sales of private securities by Neal C. Moon (CRD# 3271716). Moon was a registered broker from 1999 to 2015, according to the BrokerCheck ... Continue reading "Neal C. Moon Under Investigation for Improper Sales of Private Securities" »
There are countless individuals who fall victim to investment fraud due to negligent advisors or we may have been a potential target. This increases the importance of understanding how to deal with ... Continue reading "Investor Education: Investment Fraud Victim Recovery Checklist" »
Stockbroker Margaret Lech-Loubet (CRD# 1564472) from Florida is the subject of pending Financial Industry Regulatory Authority (FINRA) investigations regarding overconcentration allegations. According ... Continue reading "Meyer Wilson Investigating Overconcentration Allegations Against Margaret Lech-Loubet" »
Florida stockbroker Scott A. Sibley (CRD# 1523981) is the subject of a pending Financial Industry Regulatory Authority (FINRA) investigation for a variety of stockbroker misconduct allegations ... Continue reading "Scott Sibley Investigated for Stockbroker Misconduct, Target of Pending FINRA Investigation" »
Former Waddell & Reed stockbroker Steven Fonda (CRD# 2198086) of Nevada is under investigation by the securities fraud attorneys at Meyer Wilson for allegedly engaging in unauthorized trading, ... Continue reading "Meyer Wilson Investigating Former Broker / Advisor Steven Fonda for Unauthorized Trading" »
The stockbroker misconduct attorneys at Meyer Wilson are now investigating allegations of unsuitable recommendations against broker Cory R. Brunell (CRD# 3260340). While Cory Brunell is no longer ... Continue reading "Cory R. Brunell Investigated for Claims of Unsuitable Recommendations" »
If you have money in a bond fund or if you own a bond, you should pay close attention to an important number known as duration. This will signal the likely change in the price of your bond when ... Continue reading "Duration - How Interest Rate Hikes Can Affect Your Bond Portfolio" »
Unlike stock options, which are highly regulated and perfectly legal investment options, binary options come with far more risk and far less regulation. While a number of these options are traded on ... Continue reading "FBI Publishes Warning About Binary Options Fraud" »
Meyer Wilson’s securities fraud attorneys are investigating allegations of stockbroker misconduct by Hilary Joseph Zimmerman, who is currently not associated with any brokerage firm. On Feb. 27, ... Continue reading "Meyer Wilson Investigating Stockbroker Misconduct Complaints Against Broker Hilary Joseph Zimmerman" »
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