Meyer Wilson

Recovering Losses Caused By Investment Misconduct

Current Investigations

Securities Fraud Attorneys

At Meyer Wilson, we frequently post articles on a wide range of investment fraud and broker misconduct topics, including information and updates about our current investigations. Our library of articles is intended to provide you with access to information and investment fraud topics most relevant to you. It can also be used as a strong indication of our investment fraud attorneys' focus on meticulous, thorough, and unrelenting legal services that you can use when selecting legal representation to help you recover your losses. Take a moment to view our current investigations and take confidence in knowing that these efforts highlight our extensive experience and active role in this field.

Recent Posts in Current Investigations Category

301 results found. Viewing page 1 of 13. Go to page 1 2 3 4 5 6 7 8 9 10 11 12 13   Next
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" »
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" »
Danny Scott Hood (CRD# 3236852) has been barred from the securities industry by the SEC, effective Oct. 11, 2017, for his part in a variable annuity scam. From October 2012 to December 2014, Danny ... Continue reading "Danny Scott Hood Barred for Variable Annuity Scam" »
Jack McBride, a financial broker currently registered at Wunderlich Securities Inc., was under investigation by FINRA over allegations of soliciting prohibited securities up until the FINRA claims ... Continue reading "Wunderlich broker Jack McBride Under Investigation for Unsuitable ETFs" »
The investment fraud attorneys at the Meyer Wilson law firm have seen an increase in instances of brokerage firm customers, particularly retirees and senior investors, being sold shares of business ... Continue reading "Meyer Wilson Investigating Investor Losses in Business Development Companies" »
Mikhail Filshtinskiy, a former Wells Fargo broker who was suspended by FINRA in 2016, is the subject of a pending arbitration relating to allegations that Filshtinskiy aided a hedge fund manager to ... Continue reading "Former Wells Fargo Broker Mikhail Filshtinskiy Accused of Aiding a Hedge Fund Manager to Defraud Clients" »
The Financial Industry Regulatory Authority (FINRA) has permanently barred Lorenzo Esteva after he failed to provide documents in response to customer complaints of investment fraud, falsified ... Continue reading "Former UBS broker Lorenzo Esteva Barred During Investigation of Unauthorized Trading" »
A broker with Geneos Wealth Management has been accused by clients of making unsuitable investment recommendations in real estate securities. Joseph Sterling (CRD# 1101378), who is still registered ... Continue reading "Joseph Sterling of Geneos Wealth Management the Subject of Customer Complaints for making Unsuitable Recommendations" »
Former Morgan Stanley broker Angel Edgardo Aquino-Velez (CRD# 2687333) has been accused by his clients of making unsuitable investments with regard to Puerto Rican municipal bonds. Aquino-Velez was a ... Continue reading "Former Morgan Stanley Broker Angel Aquino-Valez Accused by Clients of Misconduct for Selling Puerto Rico Bonds" »
Former SII Investments Inc. financial advisor reportedly stole $1.8 million from his investment clients to support his lifestyle and gambling habit. According to the Complaint filed by the SEC on ... Continue reading "Former Broker Scott Newsholme Sued By SEC for Stealing More than $1 Million from Clients" »
Morgan Stanley has been fined by the Financial Regulatory Authority (FINRA) for failing to supervise the sale of short-term trades of unit investment trusts. Morgan Stanley will have to pay $13 ... Continue reading "Morgan Stanley Sanctioned for Failure to Supervise Sales of Unit Investment Trusts" »
Patrick Michael Hudson, a broker formerly with RBC Capital Markets LLC before he was discharged in 2015, has been suspended for borrowing money from several clients and entering into promissory notes ... Continue reading "Former RBC Broker Patrick Hudson Suspended for Broker Misconduct" »
Former Wells Fargo advisor George Russell Thoreson (CRD# 1264272) has reportedly been barred over his role in an alleged pump and dump scheme. The Securities and Exchange Commission claims that, from ... Continue reading "George Thoreson Barred by SEC Following Pump and Dump Scheme Allegations" »
Former Colorado broker Bruce Barber (CRD# 3095959) was terminated from his employment with Securities America in February for solicited his Securities America customers to invest in unapproved ... Continue reading "Broker Bruce Barber Terminated from Firm for Selling Unapproved Private Securities" »
Boston broker Cornelius Peterson (CRD# 5769919) was terminated from Morgan Stanley Wealth Management on June 26, 2017. According to a recent BrokerCheck report available through the Financial Industry ... Continue reading "Boston Broker Cornelius Peterson Fired for Allegations of Misappropriating Client Assets" »
Investor Daniel Edward Peltier was suspended from his position and must pay a $40,000 fine over accusations of market manipulation while he was at Raymond James. Daniel Peltier is still currently ... Continue reading "Raymond James Broker Daniel Peltier Pays Fine for Market Manipulation of Over the Counter Stock" »
Meyer Wilson is now investigating allegations that former broker Adam K. Veron (CRD# 4508315) engaged in an unlawful practice known as selling away. Adam Veron has been suspended from the securities ... Continue reading "Former Questar Capital Broker Adam K. Veron Suspended and Fined by FINRA After Selling Away Allegations" »
Cleveland’s John Phillip Correnti (CRD# 5319471) has been barred from the securities industry by FINRA (Financial Industry Regulatory Authority) for refusing to provide testimony and documents ... Continue reading "Cleveland's John Phillip Correnti Barred from Securities Industry by FINRA" »
Former Florida-based broker William H. Merriam IV (CRD# 5222110) is accused of forgery while he was with Merrill Lynch in Jacksonville, Florida. Merrill Lynch allowed Merriam to voluntarily resign ... Continue reading "William H. Merriam IV Barred from Securities Industry by FINRA After Broker Forgery Allegations" »
Former LPL Financial broker Sonya Camarco (CRD# 2427529) is subject to a pending lawsuit by the Securities and Exchange Commission (SEC) over allegations she committed investor fraud by stealing $2.8 ... Continue reading "Former LPL Financial Broker Sonya Camarco Sued by SEC for Allegations of Client Theft" »
Tennessee-based broker Thomas Lawrence III (CRD# 1839619) is accused of stockbroker misconduct in a pending customer complaint and a pending FINRA complaint. These complaints are part of public ... Continue reading "Tennessee-Based Broker Thomas Lawrence Faces Pending Stockbroker Misconduct Complaint" »
Former Broker Kim Dee Isaacson (CRD# 855618) has been barred by FINRA in a settlement over fraudulent misrepresentation and omissions. Isaacson began working in the securities industry in 1978 and ... Continue reading "Kim Dee Isaacson Permanently Barred by FINRA" »
301 results found. Viewing page 1 of 13. Go to page 1 2 3 4 5 6 7 8 9 10 11 12 13   Next

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