Meyer Wilson

Recovering Losses Caused By Investment Misconduct

Blog Posts in January, 2018

The investment loss attorneys at Meyer Wilson are interested in speaking with investors who may have suffered losses due to the wrongdoings of former Morgan Stanley broker Charles Dixon. Dixon was ... Continue reading "Former Morgan Stanley Broker Charles Dixon Barred by Regulators Over Failure to Comply with Investigation" »
Meyer Wilson is currently investigating broker Jack McBride for allegations of unauthorized and unsuitable transactions. McBride has previously been the subject of five consumer complaints that ... Continue reading "Meyer Wilson Investigates Wunderlich Securities, Inc. Financial Advisor Jack McBride for Alleged Unauthorized and Unsuitable Transactions" »
Former Merrill Lynch Broker Shaun Hayes was the subject of seven customer disputes lodged in 2017, all for unauthorized trading in his customers' accounts according to his Financial Industry ... Continue reading "Former Merrill Lynch Broker Faces Multiple Pending Disputes Alleging Unauthorized Trading" »
According to records published by the Financial Industry Regulatory Authority (FINRA), Kerby was terminated from Edward Jones in November 2017 for misusing client funds for his own benefit. FINRA ... Continue reading "Former Edward Jones Broker Fired and Expelled from Industry Over Allegations He Misused Elderly Client's Funds" »
Leslie Flaum faces two pending Financial Industry Regulatory Authority (FINRA) arbitrations filed by customers alleging that he failed to meet his supervisory obligations, resulting in the sale of ... Continue reading "Former Oppenheimer Broker Leslie Flaum Faces Allegations of Failing to Supervise the Sale of Investments to Customers" »
Broker David Howard Fagenson has been the subject of multiple customer complaints, eight of which have settled and two of which are pending. According to the Financial Industry Regulatory Authority ... Continue reading "Meyer Wilson Investigating Potential Investment Misconduct Claims Involving Financial Advisor David Howard Fagenson" »
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" »

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