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Recovering Losses Caused By Investment Misconduct

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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" »
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 will prevent that in the future. Proposed changes ... Continue reading "FINRA Changes Would Make it Harder for Brokers to Hide the Past" »
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" »
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" »
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC were recently ordered to pay more than $3.4 million in restitutions for unsuitable recommendations and related ... Continue reading "Wells Fargo Broker-Dealers Ordered to Pay $3.4 Million in Restitution" »
Once you have made the decision to hire a financial professional to help manage your investments, you will notice that some of these people may have a number of letters following their name. In the ... Continue reading "What You Need To Know About Financial Designations" »
The Financial Industry Regulatory Authority (FINRA) recently released a statement warning investors that a number of non-lawyer representatives have exploited customer claimants they represented in ... Continue reading "FINRA Issues Warning Over Non-Lawyer Arbitration Representatives" »
The law firm of Meyer Wilson has successfully represented numerous investors in recent years who suffered significant losses in energy-related stocks, master limited partnerships (MLPs), and other ... Continue reading "Energy Investors Continue to Lose Money in 2017; Investors May Be Able to Recover Their Losses in FINRA Arbitration" »
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" »

New Fiduciary Rule Protection

The new federal fiduciary rule requires financial advisors to act in the best interest of their clients when handling retirement assets. The rule applies to all financial advisors and registered ... Continue reading "New Fiduciary Rule Protection" »
While many legitimate companies use video calling services like Skype and Google Hangout to hold cost-effective and convenient interviews for job applicants, a number of scammers use this same ... Continue reading "The Dangers of Fake Online Job Interviews" »
The board of the Financial Industry Regulatory Authority (FINRA) recently moved to increase disclosures from firms and brokers that fail to pay arbitration awards and to strengthen the sanctions they ... Continue reading "FINRA Pushes Along Proposals to Crack Down on Unpaid Arbitration Awards and High-Risk Brokers" »
The Financial Industry Regulatory Authority (FINRA) has recently received an increasing number of reports of people receiving unexpected checks, sometimes from organizations with names of objects ... Continue reading "Protecting Yourself from Fake Check Scams" »
The Financial Industry Regulatory Authority (FINRA) began noticing fake transfer requests about five years ago and according to their disciplinary database, there have been 42 cases dating back to ... Continue reading "Scammers Attempting To Fool Brokerages with Fake Email Transfer Requests" »
Thomas Edward Andrews, formerly a stockbroker with LPL Financial, is currently serving time in federal prison after pleading guilty to securities and mail fraud. The Securities and Exchange Commission ... Continue reading "SEC Accuses Thomas E. Andrews of Investor Fraud and Misappropriation of Funds" »
If you lost money investing with former Ameriprise Financial Services, Inc. broker and investment adviser Peter F. Butler (CRD# 1942182), our securities fraud attorneys at Meyer Wilson may be able to ... Continue reading "Did You Lose Money Investing With Peter Butler?" »
Meyer Wilson is investigating investments made by Gregg D. Templeton (CRD# 2412775), who has been accused of misrepresentation and omissions. He is no longer registered with any brokerage firm. ... Continue reading "Meyer Wilson Investigating Broker Gregg D. Templeton Over Allegations of Misrepresentation and Omissions" »
Meyer Wilson is investigating investments made by William Francis Gillis (CRD# 1198878), a National Securities Corporation broker from Seattle. According to an April 17 BrokerCheck report by the ... Continue reading "Meyer Wilson Investigating Multiple Stockbroker Fraud Allegations Against William Francis Gillis" »
Minnesota stockbroker Steven Knuttila (CRD# 3039112) has been hit with nine customer complaints relating to unsuitable recommendations and poor investment advice. Steven Knuttila is currently ... Continue reading "Steven Knuttila Investigated for Unsuitability and Poor Investment Advice" »
Stockbroker Donnie Eugene Ingram (CRD# 1416971), formerly of Investors Capital Corporation of Winter Haven, Fla. is under investigation for several possible instances of unsuitable investment ... Continue reading "Did Former Investors Capital Corp. Financial Advisor Donnie Ingram Make Unsuitable Investment Recommendations for You?" »
Meyer Wilson is now investigating potential claims of improper sales of private securities by Neal C. Moon (CRD# 3271716). Moon was a registered broker from 1999 to 2015, according to the BrokerCheck ... Continue reading "Neal C. Moon Under Investigation for Improper Sales of Private Securities" »
There are countless individuals who fall victim to investment fraud due to negligent advisors or we may have been a potential target. This increases the importance of understanding how to deal with ... Continue reading "Investor Education: Investment Fraud Victim Recovery Checklist" »
The stockbroker misconduct attorneys at Meyer Wilson are now investigating allegations of unsuitable recommendations against broker Cory R. Brunell (CRD# 3260340). While Cory Brunell is no longer ... Continue reading "Cory R. Brunell Investigated for Claims of Unsuitable Recommendations" »
Meyer Wilson’s securities fraud attorneys are investigating allegations of stockbroker misconduct by Hilary Joseph Zimmerman, who is currently not associated with any brokerage firm. On Feb. 27, ... Continue reading "Meyer Wilson Investigating Stockbroker Misconduct Complaints Against Broker Hilary Joseph Zimmerman" »
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