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.

Thomas W. O’Brien, a financial advisor for the brokerage firm of Raymond James & Associates, Inc., is the subject of a recently-filed customer complaint alleging $5 million in damages. The ... Continue reading "Raymond James Broker Thomas Whitmeyer O'Brien Is the Subject of a Customer Complaint" »
The investment fraud lawyers at Meyer Wilson are currently investigating alleged misconduct by now-former Merrill Lynch financial advisor John M. James. James formerly worked at a Merrill Lynch branch ... Continue reading "Meyer Wilson Law Firm Investigating Alleged Misconduct by Now-Former Merrill Lynch Financial Advisor John M. James" »
Stockbroker malpractice occurs whether the stock market is up, down, or sideways. On this edition of “Cover Your Assets”, Attorney David Meyer shares examples of investment fraud that he ... Continue reading "The Stock Market Goes Up and Down, but Investment Fraud is Always Lurking" »
Wendel Allegedly Sold Woodbridge Ponzi Scheme Investments to His Clients Back in November, the investment fraud lawyers at the law firm of Meyer Wilson announced their investigation into alleged ... Continue reading "Update: Ohio Law Firm of Meyer Wilson Hired by Former Clients of Ohio Stockbroker Christopher Todd Wendel" »
The Securities and Exchange Commission (SEC) is creating a website with a searchable database that lists suspended or barred brokers who have committed federal securities law violations. The database ... Continue reading "Is Your Broker on the SEC Naughty List?" »
Leslie R. Koonce (CRD# 1131758), who was formerly employed by the brokerage firm of LPL Financial, was recently permanently barred from working in the securities industry. The permanent bar became ... Continue reading "Former LPL Broker Leslie Rhodes Koonce Permanently Barred from Securities Industry for Selling Unapproved Investments" »
Common Deceptive Investment Practices Many investors are deceived by some so-called financial advisors who are looking to promote self-interests and profits. May brokers and financial advisors are ... Continue reading "There Is a 75% Chance One of These Deceptive Practices is Affecting You" »
Proposed amendments to FINRA's arbitration rules would allow consumers to withdraw arbitration claims, change pleadings, postpone hearings, and receive filing fee refunds. Although laws and ... Continue reading "Proposed Rule Addresses FINRA Arbitration Claims that Go Unpaid" »
The securities arbitration attorneys at the law firm of Meyer Wilson are investigating potential investment loss claims involving alleged misconduct by financial advisor John J. Maloney III (CRD# ... Continue reading "Meyer Wilson Investigating Potential Investment Loss Claims Involving Alleged Misconduct by Financial Advisor John J. Maloney III" »
Investment fraudsters are good at their scheme but if you can recognize their conduct as red flags you have a better chance of avoiding protecting your hard earned money. David Meyer discusses the 5 ... Continue reading "5 Steps to Spot an Investment Scam and The Process of Hiring a Securities Attorney" »
The Financial Industry Regulatory Authority (FINRA), the self-regulatory agency that regulates brokerage firms and their employees, announced that now-former financial advisor Jerry Lou Guttman has ... Continue reading "Former Stock Broker Jerry Lou Guttman Barred for Selling Unapproved Securities to His Customers" »
Timothy J. Scherwa, who until recently worked as a stockbroker for Wells Fargo Clearing Services, LLC, in Morris Plains, New Jersey, has been accused of taking discretion in non-discretionary customer ... Continue reading "Former Wells Fargo Financial Advisor Timothy J. Scherwa Accused of Misconduct" »
The securities arbitration attorneys at the law firm of Meyer Wilson are investigating complaints that have recently been made by customers of Ameriprise Financial Services, Inc., alleging misconduct ... Continue reading "Michigan-Based Broker John Loveland Is the Subject of Two Pending Customer Complaints" »
On this edition of “Cover Your Assets”, attorney David Meyer discusses breaking news about potential individual investor claims relating to Woodbridge Group and its Woodbridge Mortgage ... Continue reading "Woodbridge Mortgage Funds and the Importance of Reviewing Elderly Relatives' Investments" »
The Securities & Exchange Commission (SEC) has been cracking down on registered investment advisers (RIAs) who steer their clients toward high-cost mutual funds that pay undisclosed fees to the ... Continue reading "SEC Sanctions Registered Investment Advisers for Excessive Mutual Fund Fees and Failure to Disclose Receipt of 12b-1 Fees" »
Alonza Barnett Jr., formerly a financial adviser in North Carolina with Ameritas Investment Corporation, has been barred by FINRA for failure to provide requested documents and failure to request ... Continue reading "Alonza Barnett Jr. Barred by FINRA After Client Claims Breach of Fiduciary Duty" »
Christopher Sinkula, a registered representative of the brokerage firm Janney Montgomery Scott, has been recently accused by a client of making unsuitable investments in energy sector stocks and ... Continue reading "Christopher Sinkula of Janney Montgomery Accused by Customer of Making Unsuitable Investments" »
Meyer Wilson is excited to announce that attorneys David Meyer and Matthew Wilson were selected to 2018’s list of Super Lawyers, a prestigious award David has received for the past eight years, ... Continue reading "Attorneys David Meyer and Matthew Wilson Named Super Lawyers for 2018" »
Brian Lamont Royster (CRD# 4766877) has been terminated from his supervising brokerage firm after allegedly borrowing money from clients and was recently barred by regulators from working in the ... Continue reading "Broker Brian Royster Terminated for Allegedly Borrowing Money from Clients" »
J.P. Morgan Securities, LLC was recently fined $1.25 million by the Financial Industry Regulatory Authority (FINRA) for its failure to conduct adequate or timely background checks on nearly all of its ... Continue reading "J.P. Morgan Securities, LLC Fined $1.25 Million over Failure to Appropriately Screen or Fingerprint Employees" »
Meyer Wilson is looking into allegations of broker misconduct against broker Samuel Boyce Rankin (CRD# 811491). Rankin currently works with UBS Financial Services Inc. in Charlotte, N.C., where he has ... Continue reading "Meyer Wilson Investigates Claims of Broker Misconduct Against Samuel Rankin" »
James Barton Lowther, a financial advisor currently with Merrill Lynch in Sarasota, Fla., is the subject of pending customer complaints, according to his Financial Industry Regulatory Authority ... Continue reading "Merrill Lynch Broker James Lowther Accused of Unauthorized Trading" »
Wells Fargo broker Jeffrey Randolph Wilson (CRD# 1161819) is the subject of a currently-pending customer dispute alleging that Wilson sold unsuitable energy securities and also made misrepresentations ... Continue reading "Unsuitable Energy Securities Endorsed by Jeffrey Randolph Wilson" »
Financial advisors sometimes give bad investment advice to promote their own self-interest. Focus on higher commissions and lack of investment knowledge can result in significant financial loss for ... Continue reading "Is Your Broker Making you Broker?" »
Former Thompson Davis & Company financial advisor Victor M. Dandridge III (CRD# 5884409) was convicted of bank and wire fraud earlier this year and permanently barred from working in the ... Continue reading "Victor Dandridge Gets Jail Time for Bank and Wire Fraud" »

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