Meyer Wilson

Recovering Losses Caused By Investment Misconduct

Recent Posts in Stockbroker Arbitration Category

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" »
On December, 20, 2016, the SEC’s Office of Investor Education and Advocacy issued a bulletin explaining the process involved when a customer of a brokerage firm has a dispute with the firm. The ... Continue reading "The SEC Just Released an Investor Bulletin Explaining the FINRA Arbitration Processes Involved in a Dispute with Your Stockbroker" »
Last week, we reported that former JP Morgan Broker Michael Oppenheim of New York had been charged with stealing $20 million from his clients. According to the U.S. Securities and Exchange Commission, ... Continue reading "How to Get Your Money Back if You Invested with Michael Oppenheim" »
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" »
Assessing Municipal Bond Credit Risk Key to Investor Protection, Says SEC Municipal bonds are debt securities issued by government entities. Investors lend the issuer money in exchange for a promise ... Continue reading "SEC Advises Municipal Bond Credit Risk Assessment" »
Absolutely. Everyone – based on his or her profession, experiences, and politics – has some built in bias about court cases and financial disputes. Which is why, as reported by Reuters, ... Continue reading "Who is a FINRA Arbitrator and What Difference Does the Arbitrator Selection Process Make?" »
Who is a FINRA Arbitrator and What Difference Does the Arbitrator Selection Process Make? Absolutely. Everyone – based on his or her profession, experiences, and politics – has some built ... Continue reading "In FINRA Arbitration, Does the Arbitrator Really Matter?" »
SEC Charges College Football Hall of Fame Coach Jim Donnan with Running $80M Ponzi Scheme College Football Hall of Fame inductee and former University of Georgia head coach Jim Donnan and his Ohio ... Continue reading "Former University of Georgia Head Coach, Jim Donnan, Charged with $80M Ponzi Scheme" »
Answer: The Securities Investor Protection Corp.’s main purpose is to help investors recover securities and lost funds when those losses occur as the result of an insolvent or bankrupt ... Continue reading "SIPC Won't Cover My Losses...Now What?" »
Seattle Investment Advisor Charged with Secretly Diverting Client Funds in $46M Investment Fraud Scheme Mark F. Spangler, a longtime Seattle-area financial advisor, has been charged with diverting $46 ... Continue reading "Seattle Investment Advisor Charged For Investment Fraud" »
Gregory Bartko, of Atlanta, has been sentenced to 23 years in prison by Chief U.S. District Court Judge James C. Dever III after a 13-day trial. Bartko received the sentence for his alleged part in an ... Continue reading "Atlanta Man Sentenced in Securities Fraud Case Affecting 200 Investors" »
Serial Fraudster Gets 12 Years for Green Energy Investment Scam United States District Judge Stephen V. Wilson sentenced James Rivera to 12 years in prison for the operation of a green energy scheme ... Continue reading "Serial Fraudster James Rivera for Green Energy Investment Scam Defrauding Investors" »

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