Meyer Wilson

Recovering Losses Caused By Investment Misconduct

Blog Posts in February, 2018

Former Morgan Stanley broker Kevin Woolf was under investigation by FINRA for allegations that he engaged in numerous outside business activities, including hotel development, and took part in ... Continue reading "Former Morgan Stanley Broker Kevin Woolf Barred for Noncompliance with FINRA Investigation" »
A financial advisor who develops a close emotional relationship with a client may engage in unethical practices that lead to advisor misconduct or fraud. Although many financial advisors have close ... Continue reading "When Your Advisor Is Too Close for Comfort" »
FINRA has suspended former JP Morgan Broker Farid Morim from associating with any FINRA member firm after he failed to provide information that FINRA requested as part of its investigation. According ... Continue reading "Meyer Wilson is Investigating Former JP Morgan Broker Farid Morim for Alleged Conversion of Customer Assets" »
The Massachusetts Securities Division Enforcement Section ("the Division") filed a complaint against broker Thomas T. Riquier on February 14, 2018 for violating the Massachusetts Uniform ... Continue reading "Meyer Wilson Investigates Broker Thomas Riquier for Allegations of Defrauding Investors" »
Guarantees are a tantalizing way to spice up any offer, but there is no such thing in the investment world. The Financial Industry Regulatory Authority (FINRA) recently issued an investor alert to ... Continue reading "There's No Such Thing as a "Guaranteed" Investment" »
Former LPL Financial broker Melvin Case is currently serving a sixth month suspension from FINRA for willfully omitting facts on regulatory filings and has been criminally charged for exploitation of ... Continue reading "Former LPL Financial Broker Melvin Case Charged with Exploitation of the Elderly" »
The investment loss attorneys at Meyer Wilson are interested in speaking with investors who have lost money with former Janney Mongomery Scott, LLC broker Scott Palmer. Palmer is currently the subject ... Continue reading "Meyer Wilson Is Investigating Broker Scott Palmer Regarding Customer Disputes Alleging Overconcentration" »
Understanding the tactics scammers use is an important step to take when protecting yourself from becoming a victim of investment fraud. The Financial Industry Regulatory Authority (FINRA) recently ... Continue reading "Protect Your Hard-Earned Money by Learning How Boiler Room Scams Work" »
Under current FINRA rules, brokers are allowed to remove disciplinary actions filed against them for years from public records, however new rules may prevent that in the future. Proposed changes ... Continue reading "FINRA Changes Could Make it Harder for Brokers to Hide the Past" »
Unethical financial brokers and advisors skim money from clients' investment accounts without their knowledge.. In many cases, unethical brokers and advisors deceive investors by providing false ... Continue reading "Is Your Advisor Skimming Funds from Your Investment Accounts?" »
Former Morgan Stanley Representative Timothy Thomas Gibbons was recently suspended from acting as a broker in the securities industry for 18 months after FINRA found that he made unsuitable investment ... Continue reading "Meyer Wilson Investigates Former Morgan Stanley Broker Timothy Gibbons for Allegations of Unsuitable Recommendations to Elderly Clients" »
The volatile stock market and what that means (and doesn’t mean) for Main Street investors, on this week’s broadcast of Cover Your Assets with Attorney David Meyer. Related Posts: The ... Continue reading "What Stock Market Volatility Means for Main Street Investors" »
Broker James Unger was recently charged in federal court in the Northern District of Ohio with five counts of filing false tax returns and two counts of wire fraud. According to prosecutors, after ... Continue reading "Former Cleveland Broker James Unger Charged with Embezzlement" »
The investment fraud attorneys at Meyer Wilson are investigating Broker Matthew Werthe of Raymond James Financial Services. Werthe's conduct is currently the subject of three pending customer ... Continue reading "Meyer Wilson Investigates Raymond James Broker Matthew Werthe for Allegations of Fraud, Unsuitable Investments, and Churning" »
While nobody likes losing money in the stock market, recent sharp market declines may reveal unsuitable investments in your portfolio, giving you an opportunity to assess the investment strategy ... Continue reading "Recent Stock Market Losses May Reveal Unsuitable Investments in Your Portfolio" »

SEC Shuts Down Reported ICO Scam

The United States Securities and Exchange Commission (SEC) recently shut down a reportedly fraudulent initial coin offering (ICO) that was targeting retail investors in order to fund that it called ... Continue reading "SEC Shuts Down Reported ICO Scam" »

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