Meyer Wilson

Recovering Losses Caused By Investment Misconduct

Recent Posts in Securities Fraud Category

297 results found. Viewing page 1 of 12. Go to page 1 2 3 4 5 6 7 8 9 10 11 12   Next
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" »
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" »
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" »
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" »
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" »
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?" »
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" »
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" »
The Financial Industry Regulatory Authority (FINRA), the self-regulatory agency that regulates brokerage firms and their employees, announced that now-former financial advisor Jerry Lou Guttman has ... Continue reading "Former Stock Broker Jerry Lou Guttman Barred for Selling Unapproved Securities to His Customers" »
Timothy J. Scherwa, who until recently worked as a stockbroker for Wells Fargo Clearing Services, LLC, in Morris Plains, New Jersey, has been accused of taking discretion in non-discretionary customer ... Continue reading "Former Wells Fargo Financial Advisor Timothy J. Scherwa Accused of Misconduct" »
The securities arbitration attorneys at the law firm of Meyer Wilson are investigating complaints that have recently been made by customers of Ameriprise Financial Services, Inc., alleging misconduct ... Continue reading "Michigan-Based Broker John Loveland Is the Subject of Two Pending Customer Complaints" »
Alonza Barnett Jr., formerly a financial adviser in North Carolina with Ameritas Investment Corporation, has been barred by FINRA for failure to provide requested documents and failure to request ... Continue reading "Alonza Barnett Jr. Barred by FINRA After Client Claims Breach of Fiduciary Duty" »
Christopher Sinkula, a registered representative of the brokerage firm Janney Montgomery Scott, has been recently accused by a client of making unsuitable investments in energy sector stocks and ... Continue reading "Christopher Sinkula of Janney Montgomery Accused by Customer of Making Unsuitable Investments" »
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