Meyer Wilson

Recovering Losses Caused By Investment Misconduct

Blog Posts in 2017

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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" »

Is Your Broker Making you Broker?

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" »
When a financial advisor's behavior falls below the accepted standard of practice in the financial services industry, he/she may be committing financial malpractice, a form of professional ... Continue reading "Is Your Financial Advisor Committing Malpractice?" »
Negligent and unscrupulous brokers and financial advisors often make unsuitable recommendations for buying Class B shares of mutual funds to make higher commissions. Such recommendations often result ... Continue reading "Unsuitable Recommendations for Purchasing Class B Shares" »
On the latest broadcast of “Cover Your Assets”, David Meyer covers Richard Cordray’s departure from the CFPB, variable annuity sales abuses, forged documents in elderly ... Continue reading "What Richard Cordray Leaving the Consumer Financial Protection Bureau Means for You" »
Texas-based financial advisor David Wayne Krumrey (CRD# 4121845) was terminated from the brokerage firm of Oppenheimer & Company relating to allegations that he violated securities industry rules. ... Continue reading "David Krumrey Terminated from Oppenheimer for Rule Violations" »
Bernie Madoff was arrested for stealing $64.8 billion from investors in the single largest Ponzi scheme in United States history less than a decade ago, but Americans are still falling prey to these ... Continue reading "Ponzi Schemes Continue to Destroy the Financial Lives of Americans Every Day" »
The Financial Industry Regulatory Authority (FINRA) permanently barred registered representative Lisa Lowi for failing to provide on-the-record testimony sought by the regulator relating to a pending ... Continue reading "Former Florida Broker Lisa Lowi Barred for Unsuitable Recommendations" »
The Securities and Exchange Commission (SEC) recently issued an investor warning regarding online paid-to-click scams that promise easy cash in exchange for purchasing a membership upfront. The SEC ... Continue reading "SEC Issues Warning Over Paid-to-Click Scams" »
Former Ohio-based firm broker, Christopher Todd Wendel, was terminated from SA Stone Wealth Management over an investigation into the selling of non-approved product, also known as “selling ... Continue reading "Meyer Wilson Investigating Former Ohio SA Stone Wealth Broker Terminated for Selling Away" »
Financial advisor Morgan Lewis Arford (CRD# 4945329) is currently the subject of a pending customer complaint. The complaint alleges that Arford sold unapproved and unsuitable oil and gas investments ... Continue reading "Morgan Lewis Arford Facing Allegations of Unsuitable Oil and Gas Investments" »
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