Meyer Wilson

Recovering Losses Caused By Investment Misconduct

Recent Posts in Securities Fraud Category

177 results found. Viewing page 1 of 8. Go to page 1 2 3 4 5 6 7 8   Next
The securities fraud attorneys at Meyer Wilson are currently investigating claims against broker and investment adviser Gerald Ohalloran (CRD# 1056697). The Financial Industry Regulatory Authority ... Continue reading "Meyer Wilson Investigating Claims Against Broker Gerald Ohalloran" »
The securities fraud attorneys at Meyer Wilson are currently investigating claims against former broker and investment adviser Tye Williams (CRD# 1271046). Former NEXT Financial Group, Inc. broker and ... Continue reading "Meyer Wilson Investigating Claims Against Former Broker Tye Williams" »
The securities fraud attorneys at Meyer Wilson are currently investigating claims against former Cetera Advisors and LPL Financial broker Ken Balser (CRD# 704053). Former broker and investment adviser ... Continue reading "Meyer Wilson Investigating Claims Involving Former Broker Ken Balser" »
The securities fraud attorneys at Meyer Wilson are currently investigating claims against former Sterne Agee broker Dean Mustaphalli (CRD# 2792038). Former Sterne Agee Financial Services, Inc. broker ... Continue reading "Meyer Wilson Investigating Claims Against Dean Mustaphalli" »
The Broker-Dealer Task Force and Office of Investor Education and Advocacy (OIEA) of the United States Securities and Exchange Commission (SEC) issued a joint Investor Alert on Monday, January 9 to ... Continue reading "How to Identify and Protect Yourself from Excessive Trading" »
The securities fraud attorneys at Meyer Wilson are currently investigating claims against broker Gary Saitowitz (CRD# 4238395). Former Transamerica Financial Advisors, Inc. and IFS Securities broker ... Continue reading "Meyer Wilson Investigating Claims Against Former Broker Gary Saitowitz" »
The securities fraud attorneys at Meyer Wilson are currently investigating claims against broker Scott F. Goldman (CRD# 1682329). The Financial Industry Regulatory Authority (FINRA) alleged that ... Continue reading "Meyer Wilson Investigating Claims Against Former Broker Scott Goldman" »
The securities fraud attorneys at Meyer Wilson are currently investigating claims against former broker John Corsi (CRD#: 1268728). The Financial Industry Regulatory Authority (FINRA) is currently ... Continue reading "Meyer Wilson Investigating Claims Against Former Broker John Corsi" »
The Financial Industry Regulatory Authority (FINRA) announced on Wednesday, December 21 that they have fined 12 separate firms $14.4 million for failing to adequately protect customer and ... Continue reading "A Dozen Firms Fined $14.4 Million After Failing to Protect Records from Alteration" »
The securities fraud attorneys at Meyer Wilson are currently investigating claims against broker Elaine Marie Zito (CRD# 2849238). According to the Financial Industry Regulatory Authority (FINRA), ... Continue reading "Meyer Wilson Investigating Claims Against Broker Elaine Marie Zito" »
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 securities fraud attorneys at Meyer Wilson are currently investigating claims against broker and investment adviser Matthew J. Giannone (CRD# 2800349). According to the Financial Industry ... Continue reading "Meyer Wilson Investigating Claims Against Oppenheimer Broker Matthew Giannone" »
Merrill Lynch, Pierce, Fenner & Smith Inc. has been fined $6.25 million, with an additional $780,000 to be paid in restitution, after the Financial Industry Regulatory Authority (FINRA) found that ... Continue reading "Merrill Lynch Fined $7 Million by FINRA" »
The Financial Industry Regulatory Authority (FINRA) has fined VALIC Financial Advisors, Inc., a Houston-based broker-dealer, $1.75 million. VALIC Financial Advisors consented to the entirety of ... Continue reading "VALIC Financial Advisors, Inc. Fined $1.75 Million" »
Former Newbridge Securities Corp. broker Gerald J. Cocuzzo (CRD# 4047511) pleaded guilty to charges relating to his role in a $131 million market manipulation scheme. The United States Department of ... Continue reading "Former Broker Gerald Cocuzzo Pleads Guilty to Securities Fraud" »
The securities fraud attorneys at Meyer Wilson are currently investigating claims against former broker Jay J. Gruenebaum (CRD# 2351888). The Financial Industry Regulatory Authority (FINRA), has ... Continue reading "Meyer Wilson Investigating Claims Against Former Broker Jay Gruenebaum" »
Following Ameriprise Financial Services, Inc.’s failure to detect that one of their registered representatives had converted more than $370,000 from customer accounts, the Financial Industry ... Continue reading "Don't Forget About Your Brokerage Account Statement" »
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" »
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" »
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" »
Former Ohio-based LPL Financial Broker Thomas H. Caniford has pled guilty to 135 counts relating to securities fraud and theft. Last August, Meyer Wilson announced our investigation into misconduct ... Continue reading "Thomas Caniford Pleads Guilty, Sentenced to 12 Years for Hedge Fund Fraud" »
Last week, the Securities and Exchange Commission (SEC) initiated administrative proceedings against UBS Financial Services Inc. of Puerto Rico and one of its former branch managers for improperly ... Continue reading "NEWS: UBS Puerto Rico Agrees to Settle Supervisory Failure Case with the SEC" »
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" »
Former Merrill Lynch and Smith Barney investment advisor, Jane O’Brien, has once again been given time in prison for engaging in almost twenty years of securities fraud. She has been given an ... Continue reading "NEWS: Former Merrill Lynch and Smith Barney Investor Given Extra Jail Time" »
The Securities and Exchange Commission has charged Edward Jones with selling municipal bonds at an inappropriate price. The brokerage firm, located in St. Louis, was accused of buying municipal bonds, ... Continue reading "NEWS: The SEC Alleges Edward Jones Overcharged Customers on Municipal Bonds" »
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