Meyer Wilson Blog | Investment Fraud Attorney

George Thoreson Barred by SEC Following Pump and Dump Scheme Allegations

Posted on Sep 22

Former Wells Fargo advisor George Russell Thoreson (CRD# 1264272) has reportedly been barred over his role in an alleged pump and dump scheme. The Securities and Exchange Commission claims that, from ... Continue reading "George Thoreson Barred by SEC Following Pump and Dump Scheme Allegations" »

Broker Bruce Barber Terminated from Firm for Selling Unapproved Private Securities

Posted on Sep 20

Former Colorado broker Bruce Barber (CRD# 3095959) was terminated from his employment with Securities America in February for solicited his Securities America customers to invest in unapproved ... Continue reading "Broker Bruce Barber Terminated from Firm for Selling Unapproved Private Securities" »

Boston Broker Cornelius Peterson Fired for Allegations of Misappropriating Client Assets

Posted on Sep 18

Boston broker Cornelius Peterson (CRD# 5769919) was terminated from Morgan Stanley Wealth Management on June 26, 2017. According to a recent BrokerCheck report available through the Financial Industry ... Continue reading "Boston Broker Cornelius Peterson Fired for Allegations of Misappropriating Client Assets" »

Stay Alert for Stock Fraud Following Hurricane Harvey

Posted on Sep 15

Like a vulture circling its prey, scammers flock to disaster as a prime target to break out a new scheme. With the waters from Hurricane Harvey still flooding the streets of Houston and the ... Continue reading "Stay Alert for Stock Fraud Following Hurricane Harvey" »

Understanding Initial Coin Offerings

Posted on Sep 14

Initial Coin Offerings (ICOs) are sometimes used by startup companies to raise capital by creating a new virtual token or coin. It is then offered for sale and disseminated to buyers using distributed ... Continue reading "Understanding Initial Coin Offerings" »

Raymond James Broker Daniel Peltier Pays Fine for Market Manipulation of Over the Counter Stock

Posted on Sep 13

Investor Daniel Edward Peltier was suspended from his position and must pay a $40,000 fine over accusations of market manipulation while he was at Raymond James. Daniel Peltier is still currently ... Continue reading "Raymond James Broker Daniel Peltier Pays Fine for Market Manipulation of Over the Counter Stock" »

Former Questar Capital Broker Adam K. Veron Suspended and Fined by FINRA After Selling Away Allegations

Posted on Sep 12

Meyer Wilson is now investigating allegations that former broker Adam K. Veron (CRD# 4508315) engaged in an unlawful practice known as selling away. Adam Veron has been suspended from the securities ... Continue reading "Former Questar Capital Broker Adam K. Veron Suspended and Fined by FINRA After Selling Away Allegations" »

Cleveland's John Phillip Correnti Barred from Securities Industry by FINRA

Posted on Sep 08

Cleveland’s John Phillip Correnti (CRD# 5319471) has been barred from the securities industry by FINRA (Financial Industry Regulatory Authority) for refusing to provide testimony and documents ... Continue reading "Cleveland's John Phillip Correnti Barred from Securities Industry by FINRA" »

Cetera Broker-Dealers Agree to $3.3 Million Settlement for Overcharging Clients

Posted on Sep 07

Five broker-dealers in the Cetera Financial Group network recently agreed to a $3.3 million settlement with the Financial Industry Regulatory Authority (FINRA) over their failure to supervise the ... Continue reading "Cetera Broker-Dealers Agree to $3.3 Million Settlement for Overcharging Clients" »

William H. Merriam IV Barred from Securities Industry by FINRA After Broker Forgery Allegations

Posted on Sep 06

Former Florida-based broker William H. Merriam IV (CRD# 5222110) is accused of forgery while he was with Merrill Lynch in Jacksonville, Florida. Merrill Lynch allowed Merriam to voluntarily resign ... Continue reading "William H. Merriam IV Barred from Securities Industry by FINRA After Broker Forgery Allegations" »

Former LPL Financial Broker Sonya Camarco Sued by SEC for Allegations of Client Theft

Posted on Sep 05

Former LPL Financial broker Sonya Camarco (CRD# 2427529) is subject to a pending lawsuit by the Securities and Exchange Commission (SEC) over allegations she committed investor fraud by stealing $2.8 ... Continue reading "Former LPL Financial Broker Sonya Camarco Sued by SEC for Allegations of Client Theft" »

Tennessee-Based Broker Thomas Lawrence Faces Pending Stockbroker Misconduct Complaint

Posted on Sep 01

Tennessee-based broker Thomas Lawrence III (CRD# 1839619) is accused of stockbroker misconduct in a pending customer complaint and a pending FINRA complaint. These complaints are part of public ... Continue reading "Tennessee-Based Broker Thomas Lawrence Faces Pending Stockbroker Misconduct Complaint" »

Kim Dee Isaacson Permanently Barred by FINRA

Posted on Aug 31

Former Broker Kim Dee Isaacson (CRD# 855618) has been barred by FINRA in a settlement over fraudulent misrepresentation and omissions. Isaacson began working in the securities industry in 1978 and ... Continue reading "Kim Dee Isaacson Permanently Barred by FINRA" »

Former Edward Jones Broker James Vincent Marino Accused of Theft from Client

Posted on Aug 30

Former Edward Jones financial advisor James Vincent Marino (CRD# 6192459) has been investigated by the Financial Industry Regulatory Authority (FINRA) for allegations that he accepted gifts from a ... Continue reading "Former Edward Jones Broker James Vincent Marino Accused of Theft from Client" »

Chad D. Hornday Accused of Selling Away, Barred by FINRA

Posted on Aug 29

Former California broker Chad D. Hornday (CRD# 2776038) has recently been permanently barred by FINRA and is no longer able to work as a financial advisor. In August 2016, Hornday was “permitted ... Continue reading "Chad D. Hornday Accused of Selling Away, Barred by FINRA" »

Broker James Edward Lyons Accused of Unauthorized Trading

Posted on Aug 28

Former Raymond James broker, James Edward Lyons, was discharged from Raymond James after client allegations of unauthorized trading in April of 2017. James Lyons, who is not currently registered, has ... Continue reading "Broker James Edward Lyons Accused of Unauthorized Trading" »

Former Broker Bryan Wayne Anderson in Prison, Barred by SEC

Posted on Aug 23

Alabama-based former broker Bryan Wayne Anderson is serving more than seven years in federal prison and has been barred by the Securities and Exchange Commission (SEC) for running a Ponzi scheme. ... Continue reading "Former Broker Bryan Wayne Anderson in Prison, Barred by SEC" »

Pennsylvania Broker Fined $200,000 for Selling Unsuitable Investment

Posted on Aug 22

Pennsylvania stockbroker Austin Dutton has reportedly been fined $200,000 by the Pennsylvania Department of Banking and Securities for selling at least one customer an unsuitable investment. ... Continue reading "Pennsylvania Broker Fined $200,000 for Selling Unsuitable Investment" »

Former Morgan Stanley Broker Peter Doyle Barred by FINRA

Posted on Aug 21

Former Morgan Stanley broker Peter Doyle is barred from associating with any FINRA member firm in any capacity as a part of a Letter of Acceptance, Waiver & Consent (AWC) entered by FINRA on July ... Continue reading "Former Morgan Stanley Broker Peter Doyle Barred by FINRA" »

Broker Shadi Taysir Barkat Hit with Allegations Including Unauthorized Transactions, Negligence

Posted on Aug 18

New York-based stockbroker Shadi Taysir Barakat (CRD# 5031281) is the subject of two pending customer complaints, according to public records published by the Financial Industry Regulatory Authority ... Continue reading "Broker Shadi Taysir Barkat Hit with Allegations Including Unauthorized Transactions, Negligence" »

Former Broker Donald A. DeVito II Accused of Churning and Unauthorized Trading

Posted on Aug 17

Donald A. DeVito II, a former Wells Fargo stockbroker, has been accused of churning and unsuitability in a recent customer complaint filed in May 2017. Regulatory documents show that Donald DeVito was ... Continue reading "Former Broker Donald A. DeVito II Accused of Churning and Unauthorized Trading" »

Posted on Aug 17

Meyer Wilson is proud to announce that founding partner David P. Meyer was named once again to the list of The Best Lawyers in America © in 2018 for both Professional Malpractice Law – ... Continue reading "Attorney David Meyer Selected to the 2018 List of The Best Lawyers in America©" »

Protect Yourself from Investment Research Stock Scams

Posted on Aug 16

Fraudsters use a wide array of tactics in their hunt for a new mark, and the Securities and Exchange Commission (SEC) recently started cracking down on a new method, posting deceptive articles on ... Continue reading "Protect Yourself from Investment Research Stock Scams" »

Broker John Crook Hit With Complaints of Excessive Trading, Unsuitability, Others

Posted on Aug 14

John Nelson Crook is a stockbroker with a history of customer complaints against him. He has been accused of misrepresentation, engaging in excessive and unauthorized trading, recommending unsuitable ... Continue reading "Broker John Crook Hit With Complaints of Excessive Trading, Unsuitability, Others" »

Broker Daniel Doogs Suspended by FINRA, Terminated by Employer

Posted on Aug 07

Former Ameriprise financial advisor Daniel P. Doogs has been suspended by the Financial Industry Regulatory Authority (FINRA) for failing to cooperate with a request by FINRA for information. He was ... Continue reading "Broker Daniel Doogs Suspended by FINRA, Terminated by Employer" »

Investment Fraud Law Blog

Investment Fraud Law Blog

George Thoreson Barred by SEC Following Pump and Dump Scheme Allegations

Broker Bruce Barber Terminated from Firm for Selling Unapproved Private Securities

Boston Broker Cornelius Peterson Fired for Allegations of Misappropriating Client Assets

Stay Alert for Stock Fraud Following Hurricane Harvey

Understanding Initial Coin Offerings

Raymond James Broker Daniel Peltier Pays Fine for Market Manipulation of Over the Counter Stock

Former Questar Capital Broker Adam K. Veron Suspended and Fined by FINRA After Selling Away Allegations

Cleveland's John Phillip Correnti Barred from Securities Industry by FINRA

Cetera Broker-Dealers Agree to $3.3 Million Settlement for Overcharging Clients

William H. Merriam IV Barred from Securities Industry by FINRA After Broker Forgery Allegations

Former LPL Financial Broker Sonya Camarco Sued by SEC for Allegations of Client Theft

Tennessee-Based Broker Thomas Lawrence Faces Pending Stockbroker Misconduct Complaint

Kim Dee Isaacson Permanently Barred by FINRA

Former Edward Jones Broker James Vincent Marino Accused of Theft from Client

Chad D. Hornday Accused of Selling Away, Barred by FINRA

Broker James Edward Lyons Accused of Unauthorized Trading

Former Broker Bryan Wayne Anderson in Prison, Barred by SEC

Pennsylvania Broker Fined $200,000 for Selling Unsuitable Investment

Former Morgan Stanley Broker Peter Doyle Barred by FINRA

Broker Shadi Taysir Barkat Hit with Allegations Including Unauthorized Transactions, Negligence

Former Broker Donald A. DeVito II Accused of Churning and Unauthorized Trading

Attorney David Meyer Selected to the 2018 List of The Best Lawyers in America©

Protect Yourself from Investment Research Stock Scams

Broker John Crook Hit With Complaints of Excessive Trading, Unsuitability, Others

Broker Daniel Doogs Suspended by FINRA, Terminated by Employer

George Thoreson Barred by SEC Following Pump and Dump Scheme Allegations

Broker Bruce Barber Terminated from Firm for Selling Unapproved Private Securities

Boston Broker Cornelius Peterson Fired for Allegations of Misappropriating Client Assets

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