Meyer Wilson

Recovering Losses Caused By Investment Misconduct

Blog Posts in August, 2015

26 results found. Viewing page 1 of 2. Go to page 1 2   Next
The Ohio Division of Securities issued an alert recently reminding individuals to be wary of investment pitches that link sales to a volatile stock market. With the stock market as unpredictable as it ... Continue reading "NEWS: Meyer Wilson Cautions Against Investment Pitches Linked to Market Downturn" »

NEWS: Charles Schwab & Co. Fined $2M

The Financial Industry Regulatory Authority “FINRA” has brought charges of insufficient funds against Charles Schwab & Co., Inc. The company was accused of not maintaining the funds ... Continue reading "NEWS: Charles Schwab & Co. Fined $2M" »
The Financial Industry Regulatory Authority “FINRA” accused Joseph Schroeder (CRD# 1293346) of recommending and conducting sales of undisclosed securities to firm customers without proper ... Continue reading "Meyer Wilson Investigates Allegations Against Broker Joseph Schroeder" »
In 2014, FINRA started an investigation into Jack Allen Scherbert (CRD# 1882576) , formerly of Wells Fargo Advisors. The FINRA investigation centered around accusations of misrepresenting investments ... Continue reading "Meyer Wilson Investigates Allegations Made Against Jack Allen Scherbert" »
Glenn Allen Moffitt ( CRD# 4767024 ) accepted and consented to FINRA’s findings that he failed to appear for testimony in conjunction with an investigation into allegations that he converted at ... Continue reading "Meyer Wilson Investigates Accusations Involving Glenn A. Moffitt" »
Meyer Wilson is currently investigating complaints concerning Bennett Scott Broad (CRD # 702460). According to his FINRA report, he has 28 complaints filed against him alleging multiple instances of ... Continue reading "Meyer Wilson Investigates Allegations Against Bennett Scott Broad" »
Walter Rae Chao ( CRD# 4665787 ) was fired by LPL Financial in September 2012 because the broker-dealer claimed that Chao violated firm policies in regard to participation in private securities ... Continue reading "Former LPL Broker Walter Chao Accused of Misconduct, Meyer Wilson Investigates" »
Eight claimants were awarded $1.28 million in compensatory damages by a FINRA arbitration panel last Wednesday, which FSC Securities Corp. is on the hook to pay. According to the claimants, a man ... Continue reading "NEWS: FSC Securities Corp. To Pay $1.28M Arbitration Award in the Case of Aubrey Lee Price" »
Former financial broker, Bryan W. Anderson, is under investigation by FINRA for allegedly defrauding his investors of over $8.4 million dollars. The alleged fraud occurred while Anderson worked for ... Continue reading "Meyer Wilson Investigates Former Broker Bryan Anderson for Allegedly Employing Ponzi Scheme" »
Former Merrill Lynch and Smith Barney investment advisor, Jane O’Brien, has once again been given time in prison for engaging in almost twenty years of securities fraud. She has been given an ... Continue reading "NEWS: Former Merrill Lynch and Smith Barney Investor Given Extra Jail Time" »
In July 2010, a senior executive at Guggenheim, a subsidiary to Guggenheim Partners LLC, allegedly accepted a loan from an advisory client and failed to report it to the compliance staff. According to ... Continue reading "NEWS: Guggenheim Partners Investment Management Agrees to Pay Fine for Violation of Disclosure to Clients" »
The SEC accused former broker George Bussanich (CRD# 4552414) of offering securities of a company his father owned from approximately March 2009 through July 2013. Bussanich allegedly sold these ... Continue reading "NEWS: George Bussanich Accused of Defrauding Investors" »
UBS was ordered to pay $750,000 to satisfy claims that accuse the brokerage firm of failure to supervise and inadequate supervisory systems regarding trading errors at UBS retail branches that ... Continue reading "NEWS: UBS Fined $750,000 for Failure to Supervise" »
The Securities and Exchange Commission has charged Edward Jones with selling municipal bonds at an inappropriate price. The brokerage firm, located in St. Louis, was accused of buying municipal bonds, ... Continue reading "NEWS: The SEC Alleges Edward Jones Overcharged Customers on Municipal Bonds" »
Brian Michael Berger (CRD# 3208127), formerly registered with Wells Fargo Advisors and MetLife Securities has been accused by a customer of misappropriating funds. In connection with an investigation ... Continue reading "Brian Berger Accused of Stealing from Elderly Clients, Meyer Wilson Investigates" »
The Securities and Exchange Commission has charged ITG Inc., and its subsidiary AlterNet, with violations of the Securities Act of 1993 and Regulations ATS. ITG has been accused of operating a secret ... Continue reading "NEWS: ITG Charged with Working a Secret Trading Desk and Exploiting Subscriber Information" »
Malcolm J. Babin (CRD# 5387332), formerly registered with PFS Investments, was recently barred from the securities industry. Babin accepted and consented to FINRA’s findings that he failed to ... Continue reading "Meyer Wilson Investigates Allegations of Malcolm Babin Misappropriating Funds" »
Meyer Wilson is currently investigating misconduct allegations facing a former JP Morgan broker, Charlotte Ann Guin (CRD# 4050796). Guin accepted and consented to FINRA’s findings that she ... Continue reading "Charlotte Guin Accused of Investment Misconduct, Meyer Wilson Investigates" »
The investment fraud attorneys at Meyer Wilson are currently investigating allegations that Thomas H. Caniford ( CRD #1049021 ), formerly of LPL Financial, sold customers securities that were not ... Continue reading "Meyer Wilson Investigates Misconduct Allegations of Former LPL Financial Broker Thomas H. Caniford of North Canton, Ohio" »
A Tennessee man, Larry Bates, and his sons, Robert and Charles, are under investigation by the U.S. Postal Inspection Service and the Federal Bureau of Investigation. The men have been indicted for ... Continue reading "Man and Sons Charged with Stealing $18 Million in Mail, Wire Fraud Scheme" »
FINRA has named Aegis Capital Corp., Charles D. Smulevitz (CRD# 5099387), and Kevin C. McKenna (CRD# 1343870) in a complaint concerning a microcap stock scheme. FINRA filed disciplinary proceedings ... Continue reading "Aegis Capital Corp. & Representatives Implicated in Microcap Stock Scheme" »
Meyer Wilson is conducting an investigation for charges made by FINRA against Merrill Lynch trader Bharminder Singh (CRD# 5428974) . Singh is accused of buying Motors Liquidation Company (MLC) notes ... Continue reading "Meyer Wilson Investigates Former Merrill Lynch Trader" »
Frederick Alan Voight, a Richmond, Texas man, has been charged with conducting a $114 million Ponzi scheme by the SEC. Voight allegedly defrauded 300 of his investors. Of the $114 million dollars ... Continue reading "Texas Man Charged in Ponzi Scheme by the SEC" »
SEC filed an order instituting administrative proceedings in the case of Lori Ann Artzberger ( CRD# 1324218 ), formerly a registered representative with The Leaders Group, Inc. and Janney Montgomery ... Continue reading "Lori Ann Artzberger Barred from Securities Industry" »
According to FINRA, Wells Fargo is being fined $500,000 for unsuitable recommendations made to customers between August 2005 and July 2012. FINRA says that the brokerage firm recommended to customers ... Continue reading "FINRA Fines Wells Fargo $500k Over Unsuitable Recommendations" »
26 results found. Viewing page 1 of 2. Go to page 1 2   Next

Choose a Firm with Accolades:

  • Super Lawyers
  • Million Dollar Advocates Forum
  • Preeminent AV Peer Review Rated
  • Best Lawyers Lawyer of the Year
  • Best Lawyers Best Law Firm
  • The Best Lawyers in America
  • Avvo 10/10 Rating