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Blog » Categories » Stockbroker Misconduct

Recent Posts in Stockbroker Misconduct Category

Former UBS Broker Sued By SEC for Defrauding Blind, Elderly Customers

By Courtney Yeager Up until April, Donna Jessee Tucker was working as a broker for UBS Financial Services, Inc. ("UBS"), one of the largest brokerage firms in the world. On July 31 st, the ...
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Warning from Former Broker About Variable Annuities

By Chad M. Kohler, Esq. "A guaranteed income for life" sounds like a pretty good proposition to most investors. When I was a stockbroker, I heard countless sales pitches from variable ...
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New List of Top Investor Threats Released

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 ...
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Study Reveals 90 Percent of Expungements Are Granted in Stockbroker Arbitration Cases

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" »

Raymond James Financial Services Sales of Canadian Royalty Trust Stocks

Meyer Wilson is currently investigating Raymond James Financial Services (RJFS) sales of Canadian Royalty Trust ("Canroy") stocks and potential recovery for victims of the alleged ...
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Meyer Wilson Continues Investigation into Possible Recovery for Victims of UBS Puerto Rico Fraud

The investment fraud lawyers at Meyer Wilson are currently investigating claims against UBS Puerto Rico of fraud involving bond funds. Meyer Wilson is looking into potential recovery for victims of ...
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Private Placement Investments in the Hot Seat

Reuters recently reported on private securities, explaining that the Financial Industry Regulatory Authority (FINRA) has taken multiple disciplinary measures this month against improper sales of ...
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SEC Accuses Former Michigan Broker Lewis J. Hunter of Fraud

Earlier this month, the SEC accused former Michigan broker Lewis J. Hunter of using false and misleading statements to misappropriate an estimated $300,000 from at least two brokerage clients. The SEC ...
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HD Vest Investment Securities Could Be Held Liable for Lewis J. Hunter's Alleged Investment Scheme

The Securities and Exchange Commission is currently investigating Lewis J. Hunter for allegedly stealing hundreds of thousands of dollars from his brokerage clients and using the funds for his own ...
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Phoenix Investment Adviser Charged for Investment Fraud

Phoenix-Based Investment Adviser Charged with Fraud, SEC Alleges Undisclosed Conflicts of Interest Last week, the SEC filed charges against Phoenix-based investment advisor Walter J. Clarke for ...
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Seattle Investment Advisor Charged For Investment Fraud

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 ...
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Story Serves as Cautionary Tale Against Nontraded REITs

This woman’s story is a cautionary tale against nontraded REITs when her investment broker pushed her into a nontraded REIT as part of her IRA. The story of Susan Fox, a 63-year-old woman whose ...
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Serial Fraudster James Rivera for Green Energy Investment Scam Defrauding 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 ...
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FINRA Launches a New Public-Access Disciplinary Actions Database

On Monday, FINRA announced the launch of a new public-access disciplinary actions database that is available for free on the organization's website. According to the announcement, the new FINRA ...
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SEC Accuses Koch Asset Management and Founder Donald Koch of Investment Fraud

The SEC filed an enforcement order against Donald L. Koch and Koch Asset Management LLC (KAM) on April 25 for an alleged "mark-the-close" investment scheme, which the SEC says constituted a ...
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Investors File Claim Against Brokerage Principal for $4.1 Million in Losses

Last week, 16 investors filed a lawsuit against Stephen D. Pizzuti and Merrimac Corporate Securities, Inc. that alleged gross negligence on the part of Pizzuti and Merrimac in relation to a $4.1 ...
Continue reading "Investors File Claim Against Brokerage Principal for $4.1 Million in Losses" »

Mass. Financial Adviser Pleads Guilty to Stealing $3 Million

Sean Mansfield, a West Springfield financial adviser, pled guilty this week to 17 counts of wire fraud, two counts of embezzlement, and two counts of money laundering for stealing $3 million from his ...
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St. Louis Woman Pleads Guilty to $6 Million Investment Scheme

Victoria McGee-Harris, a securities broker from St. Louis, pled guilty to fraud charges on Thursday in a $6 million investment fraud case ("St. Louis broker admits $6 million investment scam, ...
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FINRA Disciplinary Actions Up in 2010

If it seems like FINRA has been filing more enforcement actions over the past twelve months or so, it’s because it has. According to a study released Monday, the self-regulatory organization ...
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How Investors Can Protect Themselves from Broker Fraud and Broker Bankruptcy

An easy way to protect yourself in the case of broker fraud and broker bankruptcy is to verify that your brokerage firm is a member of the Securities Investor Protection Corp. (SIPC) and that all the ...
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Lincoln Financial Fined by FINRA for Former Broker's "Selling Away" Scheme

On Sept. 27, a FINRA arbitration panel declared Lincoln Financial liable for $4.43 million in damages and interest to approximately 24 former clients, according to an Oct. 5 InvestmentNews article. ...
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Michigan Advisor Accused of Defrauding School System and Township in Ponzi Scheme

Last week, a criminal Complaint was filed against Dante DeMiro for his role in an alleged Ponzi scheme, which the FBI says defrauded both the Mona Shores Public Schools system and Comstock Township ...
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Fort Wayne Broker Charged with 7 Counts of Securities Fraud

Randell E. Morrison of Fort Wayne has been charged with seven counts of securities fraud and one count of corrupt business influence for his alleged role in cheating investors out of $800,000 between ...
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FINRA Fines, Suspends Broker for Failure to Supervise

The Financial Industry Regulatory Authority (FINRA) recently fined and suspended former Raymond James broker Karen L. Fence of New Jersey for failing to supervise the activities of a representative. ...
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