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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

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Former Newbridge Securities Corporation broker Brian Berger plead guilty to three counts of wire fraud in 2017. In connection with that plea, Berger admitted that between April 2013 and September ... Continue reading "Meyer Wilson Is Investigating Former Newbridge Securities Corporation Broker Brian Berger for Allegations of Fraud and Other FINRA Rule Violations" »
Meyer Wilson is currently representing victims of the Enviro Board investment scheme conducted by former LPL Financial advisor, Joshua Mosshart. In 2016, Mosshart was sued by the SEC for securities ... Continue reading "Meyer Wilson Representing Victims of the Enviro Board Investment Scheme" »
The securities fraud attorneys at Meyer Wilson have been retained by investors to pursue investment loss claims against Money Concepts, relating to alleged misconduct by broker Craig Sutherland of ... Continue reading "Meyer Wilson is Representing Investors in Claims involving Columbus Broker Craig Sutherland" »
Former Morgan Stanley broker David Olson has been barred from the securities industry by FINRA for failing to provide documents connected to an investigation regarding allegations of engaging in ... Continue reading "Meyer Wilson Investigates Former Morgan Stanley Broker David Olson Regarding Allegations of Engaging in Undisclosed Outside Business Activities" »
FINRA has barred former Morgan Stanley broker Matthew Singer for failing to appear for an on-the-record testimony during an investigation into allegations of unsuitable options trading ... Continue reading "Former Morgan Stanley Broker Matthew Singer Investigated for Unsuitable Options Trading, Barred for Failing to Appear" »
Former LPL Financial broker Sanders Spangler was recently barred by FINRA for failing to appear at a hearing. In connection with an investigation into potential unauthorized trading in five ... Continue reading "Former LPL Financial Broker Sanders Spangler Pulls a No-Show in Regulatory Investigation, Gets Barred by FINRA" »
Meyer Wilson is investigating former Morgan Stanley broker Thomas Meier for allegations involving unsuitable energy-related investments, misrepresentation, breach of fiduciary duty, negligence, and ... Continue reading "Meyer Wilson Investigates Former Morgan Stanley Broker Thomas Meier" »
According to a complaint recently filed by the Securities and Exchange Commission (SEC), the Woodbridge group of companies is nothing more than a Ponzi Scheme that raised more than $1.22 billion ... Continue reading "Former HD Vest Broker Jerry Raines Investigated for Allegations Involving Woodbridge Mortgage Investment Fund" »
Former financial advisors Clement Chichester and Brittany Sias have been arrested, “by detectives from the California Department of Insurance for allegedly scamming a senior victim out of more ... Continue reading "More Victims Expected to Come Forward in Case Involving Former Western International Securities Brokers Sias and Chichester" »
Former brokers Deborah Kelley and Gregg Z. Schonhorn were recently charged by the SEC and barred for their alleged roles in a "pay-to-play" pension fund scandal involving the NY State Common ... Continue reading "Two Former Brokers Barred For Their Alleged Roles in Pension Fund Scandal, Top Official Navnoor Kang Charged with Fraud" »
When a broker sells, or solicits the sale of, securities or investment products that may not be authorized by the member firm with which the broker is registered, the brokerage firm may be held liable ... Continue reading "Failure to Supervise Can Result in Broker-Dealer Liability in "Selling Away" Cases" »
While wrap fees are an attractive option for many investors because they enable people to pay a single fee for bundled investment services, a thorough understanding of exactly what services are ... Continue reading "Are You Wrapped Up in an Unsuitable Wrap-Fee Program?" »
Former Morgan Stanely Broker Darrell Rideaux was recently barred by FINRA because he refused to cooperate with its investigation regarding allegations that he solicited private placement investments ... Continue reading "FINRA Has Barred Former Morgan Stanley Broker Darrell Rideaux After Allegations of Selling Away" »
Former California-based Morgan Stanley broker Kevin Yang was recently suspended by FINRA and charged a $5,000 fine for exercising discretion in customer accounts without prior written authorization. ... Continue reading "Former Morgan Stanley Broker Kevin Yang Terminated From Firm and Suspended by FINRA" »
The U.S. Securities and Exchange Commission (SEC) has issued a warning advising investors to use caution when dealing with cryptocurrency exchanges. Since many cryptocurrency exchanges are ... Continue reading "SEC Warning: Unregulated Cryptocurrency Exchanges Place Investors at Risk" »
The Financial Industry Regulatory Authority (FINRA) recently barred former Morgan Stanley Broker Michael Ralby of Boca Raton, FL for declining to participate in an investigation into allegations that ... Continue reading "Former Morgan Stanley Broker Michael Ralby Barred for Declining to Comply with Regulatory Investigation" »
Last month, a securities fraud class action was filed on behalf of persons who purchased shares of the LJM Preservation and Growth Fund. According to the Complaint filed in the U.S. District Court for ... Continue reading "Meyer Wilson Investigates Allegations Against the LJM Preservation and Growth Fund" »
FINRA has permanently barred former Wells Fargo broker Jeffrey Palish for receiving money from a customer for his personal use. Palish accepted the money from his customer without the ability or ... Continue reading "Former Wells Fargo Broker Jeffrey Palish Accused of Stealing Elderly Client's Funds" »
Hilliard Lyons broker Christopher Bennett was recently ordered to pay $445,000 in damages for allegedly committing several FINRA violations that resulted in significant losses to a client's ... Continue reading "Hilliard Lyons Broker Christopher Bennett Ordered to Pay $445,000 in Damages to Customer in FINRA Arbitration" »
The Justice Department instructed Wells Fargo to conduct an independent investigation into its wealth-management business in late 2017 after whistleblowers raised concerns to the agency. According to ... Continue reading "Justice Department Investigating Wealth Management Unit at Wells Fargo" »
Former Texas-based Oppenheimer broker David Krumrey has been suspended from acting as a broker for failing to respond to FINRA requests for information. Krumrey was fired by Oppenheimer in August 2017 ... Continue reading "Former Oppenheimer & Company Broker David Krumrey Was Suspended by FINRA for Failing to Produce Information" »
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" »
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" »
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" »
348 results found. Viewing page 1 of 14. Go to page 1 2 3 4 5 6 7 8 9 10 11 12 13 14   Next

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