Meyer Wilson

Investment Fraud Law Blog

Investment Fraud Law Blog

Read the latest news regarding alleged investment fraud and broker misconduct cases nationwide. The securities fraud attorneys at the law firm of Meyer Wilson have been helping investors recover losses since 1999.

Meyer Wilson Is Investigating Former Newbridge Securities Corporation Broker Brian Berger for Allegations of Fraud and Other FINRA Rule Violations

Posted on Apr 16
Former Newbridge Securities Corporation broker Brian Berger plead guilty to three counts of wire fraud in 2017. In connection with that plea, Berger admitted that between April 2013 and September ... Continue reading "Meyer Wilson Is Investigating Former Newbridge Securities Corporation Broker Brian Berger for Allegations of Fraud and Other FINRA Rule Violations" »

Meyer Wilson Representing Victims of the Enviro Board Investment Scheme

Posted on Apr 13
Meyer Wilson is currently representing victims of the Enviro Board investment scheme conducted by former LPL Financial advisor, Joshua Mosshart. In 2016, Mosshart was sued by the SEC for securities ... Continue reading "Meyer Wilson Representing Victims of the Enviro Board Investment Scheme" »

Geneos, Securities America, and PNC Settle With SEC, Will Pay Clients More Than $12 Million

Posted on Apr 12
Geneos Wealth Management Inc., Securities America Advisors Inc., and PNC Investments recently settled with the Securities and Exchange Commission (SEC) over charges of breaching fiduciary duty which ... Continue reading "Geneos, Securities America, and PNC Settle With SEC, Will Pay Clients More Than $12 Million" »

Tips to Protect Your Elderly Loved Ones from Financial Exploitation

Posted on Apr 11
Senior investors are among the most frequently targeted victims of financial exploitation. In order to better protect this group of people, the Financial Industry Regulatory Authority (FINRA), adopted ... Continue reading "Tips to Protect Your Elderly Loved Ones from Financial Exploitation" »

Understanding the Risks of Data Aggregation

Posted on Apr 10
While using an online company to help you gather all of your financial information in one website may be convenient, it’s important to know exactly how these data aggregators conduct business in ... Continue reading "Understanding the Risks of Data Aggregation" »

SEC Warns Investors of Scammers Impersonating Government Officials

Posted on Apr 09
The Securities and Exchange Commission (SEC) recently published an investor alert in order to warn investors of scammers posing as SEC employees in a scheme to trick investors into revealing account ... Continue reading "SEC Warns Investors of Scammers Impersonating Government Officials" »

Meyer Wilson is Representing Investors in Claims involving Columbus Broker Craig Sutherland

Posted on Apr 06
The securities fraud attorneys at Meyer Wilson have been retained by investors to pursue investment loss claims against Money Concepts, relating to alleged misconduct by broker Craig Sutherland of ... Continue reading "Meyer Wilson is Representing Investors in Claims involving Columbus Broker Craig Sutherland" »

Meyer Wilson Investigates Former Morgan Stanley Broker David Olson Regarding Allegations of Engaging in Undisclosed Outside Business Activities

Posted on Apr 05
Former Morgan Stanley broker David Olson has been barred from the securities industry by FINRA for failing to provide documents connected to an investigation regarding allegations of engaging in ... Continue reading "Meyer Wilson Investigates Former Morgan Stanley Broker David Olson Regarding Allegations of Engaging in Undisclosed Outside Business Activities" »

Former Morgan Stanley Broker Matthew Singer Investigated for Unsuitable Options Trading, Barred for Failing to Appear

Posted on Apr 04
FINRA has barred former Morgan Stanley broker Matthew Singer for failing to appear for an on-the-record testimony during an investigation into allegations of unsuitable options trading ... Continue reading "Former Morgan Stanley Broker Matthew Singer Investigated for Unsuitable Options Trading, Barred for Failing to Appear" »

Former LPL Financial Broker Sanders Spangler Pulls a No-Show in Regulatory Investigation, Gets Barred by FINRA

Posted on Apr 03
Former LPL Financial broker Sanders Spangler was recently barred by FINRA for failing to appear at a hearing. In connection with an investigation into potential unauthorized trading in five ... Continue reading "Former LPL Financial Broker Sanders Spangler Pulls a No-Show in Regulatory Investigation, Gets Barred by FINRA" »

Meyer Wilson Investigates Former Morgan Stanley Broker Thomas Meier

Posted on Mar 29
Meyer Wilson is investigating former Morgan Stanley broker Thomas Meier for allegations involving unsuitable energy-related investments, misrepresentation, breach of fiduciary duty, negligence, and ... Continue reading "Meyer Wilson Investigates Former Morgan Stanley Broker Thomas Meier" »

Former HD Vest Broker Jerry Raines Investigated for Allegations Involving Woodbridge Mortgage Investment Fund

Posted on Mar 28
According to a complaint recently filed by the Securities and Exchange Commission (SEC), the Woodbridge group of companies is nothing more than a Ponzi Scheme that raised more than $1.22 billion ... Continue reading "Former HD Vest Broker Jerry Raines Investigated for Allegations Involving Woodbridge Mortgage Investment Fund" »

Red Flags to Look Out for From Your Financial Professional

Posted on Mar 27
The Financial Industry Regulatory Authority (FINRA) recently released an investor alert about behaviors potentially fraudulent financial professionals often engage in. It’s important to keep a ... Continue reading "Red Flags to Look Out for From Your Financial Professional" »

More Victims Expected to Come Forward in Case Involving Former Western International Securities Brokers Sias and Chichester

Posted on Mar 27
Former financial advisors Clement Chichester and Brittany Sias have been arrested, “by detectives from the California Department of Insurance for allegedly scamming a senior victim out of more ... Continue reading "More Victims Expected to Come Forward in Case Involving Former Western International Securities Brokers Sias and Chichester" »

Two Former Brokers Barred For Their Alleged Roles in Pension Fund Scandal, Top Official Navnoor Kang Charged with Fraud

Posted on Mar 20
Former brokers Deborah Kelley and Gregg Z. Schonhorn were recently charged by the SEC and barred for their alleged roles in a "pay-to-play" pension fund scandal involving the NY State Common ... Continue reading "Two Former Brokers Barred For Their Alleged Roles in Pension Fund Scandal, Top Official Navnoor Kang Charged with Fraud" »

Failure to Supervise Can Result in Broker-Dealer Liability in "Selling Away" Cases

Posted on Mar 19
When a broker sells, or solicits the sale of, securities or investment products that may not be authorized by the member firm with which the broker is registered, the brokerage firm may be held liable ... Continue reading "Failure to Supervise Can Result in Broker-Dealer Liability in "Selling Away" Cases" »

Are You Wrapped Up in an Unsuitable Wrap-Fee Program?

Posted on Mar 16
While wrap fees are an attractive option for many investors because they enable people to pay a single fee for bundled investment services, a thorough understanding of exactly what services are ... Continue reading "Are You Wrapped Up in an Unsuitable Wrap-Fee Program?" »

FINRA Has Barred Former Morgan Stanley Broker Darrell Rideaux After Allegations of Selling Away

Posted on Mar 15
Former Morgan Stanely Broker Darrell Rideaux was recently barred by FINRA because he refused to cooperate with its investigation regarding allegations that he solicited private placement investments ... Continue reading "FINRA Has Barred Former Morgan Stanley Broker Darrell Rideaux After Allegations of Selling Away" »

Former Morgan Stanley Broker Kevin Yang Terminated From Firm and Suspended by FINRA

Posted on Mar 14
Former California-based Morgan Stanley broker Kevin Yang was recently suspended by FINRA and charged a $5,000 fine for exercising discretion in customer accounts without prior written authorization. ... Continue reading "Former Morgan Stanley Broker Kevin Yang Terminated From Firm and Suspended by FINRA" »

SEC Warning: Unregulated Cryptocurrency Exchanges Place Investors at Risk

Posted on Mar 13
The U.S. Securities and Exchange Commission (SEC) has issued a warning advising investors to use caution when dealing with cryptocurrency exchanges. Since many cryptocurrency exchanges are ... Continue reading "SEC Warning: Unregulated Cryptocurrency Exchanges Place Investors at Risk" »

Former Morgan Stanley Broker Michael Ralby Barred for Declining to Comply with Regulatory Investigation

Posted on Mar 12
The Financial Industry Regulatory Authority (FINRA) recently barred former Morgan Stanley Broker Michael Ralby of Boca Raton, FL for declining to participate in an investigation into allegations that ... Continue reading "Former Morgan Stanley Broker Michael Ralby Barred for Declining to Comply with Regulatory Investigation" »

Meyer Wilson Investigates Allegations Against the LJM Preservation and Growth Fund

Posted on Mar 08
Last month, a securities fraud class action was filed on behalf of persons who purchased shares of the LJM Preservation and Growth Fund. According to the Complaint filed in the U.S. District Court for ... Continue reading "Meyer Wilson Investigates Allegations Against the LJM Preservation and Growth Fund" »

Former Wells Fargo Broker Jeffrey Palish Accused of Stealing Elderly Client's Funds

Posted on Mar 05
FINRA has permanently barred former Wells Fargo broker Jeffrey Palish for receiving money from a customer for his personal use. Palish accepted the money from his customer without the ability or ... Continue reading "Former Wells Fargo Broker Jeffrey Palish Accused of Stealing Elderly Client's Funds" »

Hilliard Lyons Broker Christopher Bennett Ordered to Pay $445,000 in Damages to Customer in FINRA Arbitration

Posted on Mar 02
Hilliard Lyons broker Christopher Bennett was recently ordered to pay $445,000 in damages for allegedly committing several FINRA violations that resulted in significant losses to a client's ... Continue reading "Hilliard Lyons Broker Christopher Bennett Ordered to Pay $445,000 in Damages to Customer in FINRA Arbitration" »

Justice Department Investigating Wealth Management Unit at Wells Fargo

Posted on Mar 01
The Justice Department instructed Wells Fargo to conduct an independent investigation into its wealth-management business in late 2017 after whistleblowers raised concerns to the agency. According to ... Continue reading "Justice Department Investigating Wealth Management Unit at Wells Fargo" »

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