Meyer Wilson

Recovering Losses Caused By Investment Misconduct

Recent Posts in Stockbroker Misconduct Category

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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" »
While nobody likes losing money in the stock market, recent sharp market declines may reveal unsuitable investments in your portfolio, giving you an opportunity to assess the investment strategy ... Continue reading "Recent Stock Market Losses May Reveal Unsuitable Investments in Your Portfolio" »
Wall Street is not doing enough to protect senior investors. Financial regulators warn that senior financial fraud is on the rise, and brokerages and financial advisors are responsible for not doing ... Continue reading "Are Brokerages and Advisors Doing Enough to Protect Seniors?" »
By law, investment advisors who give clients advice and recommendations on investments have a fiduciary duty to act in their clients' best interest. All conflicts of interest must be disclosed ... Continue reading "Did Your Adviser Put Your Best Interests First?" »
The securities fraud attorneys at Meyer Wilson represented former clients of former Ohio stockbroker Mark Speakman (CRD# 2693667) with claims against Ameriprise Financial Services. Former Ameriprise ... Continue reading "Meyer Wilson Investigating Claims Against Former Broker Mark Speakman" »
The securities fraud attorneys at Meyer Wilson are currently investigating claims against broker and investment adviser Matthew J. Giannone (CRD# 2800349). According to the Financial Industry ... Continue reading "Meyer Wilson Investigating Claims Against Oppenheimer Broker Matthew Giannone" »
Former Newbridge Securities Corp. broker Gerald J. Cocuzzo (CRD# 4047511) pleaded guilty to charges relating to his role in a $131 million market manipulation scheme. The United States Department of ... Continue reading "Former Broker Gerald Cocuzzo Pleads Guilty to Securities Fraud" »

How Unit Investment Trusts Affect You

At Meyer Wilson, we have seen numerous clients who have lost money due to unit investment trusts (UITs). Brokers and brokerage firms are often pitching UITs as helpful and beneficial. Unfortunately, ... Continue reading "How Unit Investment Trusts Affect You" »
FINRA Chairman and Chief Executive Officer Richard Ketchum explains the necessity of protecting the vulnerable against financial fraud – Each day for the next 15 years, an average of 10,000 ... Continue reading "NEWS: New FINRA-Approved Rules Will Help Protect Seniors from Financial Exploitation" »
Meyer Wilson's investment misconduct attorneys are currently investigating accusations involving former Ameriprise broker Ted Cadwallader. Ameriprise broker Ted Wayne Cadwallader ( CRD# 3256070 ) ... Continue reading "Former Ameriprise Broker Ted Cadwallader Accused of Misconduct, Meyer Wilson Investigates" »
Meyer Wilson is currently investigating former Fifth Third Securities broker Matthew Roger Quinn of Cincinnati over allegations that he improperly withdrew funds from customers' accounts. Matthew ... Continue reading "Meyer Wilson Investigates Cincinnati Broker Matthew Roger Quinn" »
Stockbroker fraud attorneys at Meyer Wilson are currently investigating misappropriation claims involving former Merrill Lynch broker Greg Campbell. Greg John Campbell (CRD# 4732999) was a registered ... Continue reading "Meyer Wilson Attorneys Investigate Allegations Involving Greg Campbell" »
The investment fraud lawyers at Meyer Wilson are currently investigating a case regarding former stockbroker John C. Hanson. John Charles Hanson (CRD# 2420584) was barred from associating with any ... Continue reading "Allegations Involving Former Broker John C. Hanson Investigated by Meyer Wilson" »
Meyer Wilson is investigating a case regarding former stockbroker Derek Weaver. Last month, the Financial Industry Regulatory Authority ("FINRA") permanently barred Weaver, formerly a broker ... Continue reading "Meyer Wilson Attorneys Investigate Allegations Involving Former Stockbroker Derek Weaver" »
The investment fraud lawyers of Meyer Wilson are investigating potential claims involving former stockbroker Kirsten Flynn Hawkins (CRD 2509324), of Staunton, Virginia, relating to her alleged misuse ... Continue reading "Meyer Wilson Law Firm Investigating Claims Involving Stockbroker Kirsten Flynn Hawkins" »
The investment fraud lawyers at Meyer Wilson are investigating potential claims involving former stockbroker Barkley J. Lundy, Jr. ( CRD# 2260127 ), of Rapid City, South Dakota, relating to his ... Continue reading "Meyer Wilson Law Firm Investigating Claims Involving Former Stockbroker Barkley J. Lundy, Jr." »
By David Meyer The Chairman of the President's Council of Economic Advisers drafted a memorandum on January 13, 2015 that shared research findings regarding inappropriate stockbroker practice. ... Continue reading "Government Research Shows Broker Misconduct Costing Investors Up to $17 Billion A Year" »
By Chad M. Kohler Brokerage firms are required to monitor investment accounts to help protect customers against harmful activity such as unsuitable trading, churning, and over-concentrated positions. ... Continue reading "Beware of "Happiness Letters" From Your Brokerage Firm" »
Ismail Elmas, the former broker from Virginia, is now the topic of a story in The Washington Post. In the latest development of this case, as of October 21, Elmas has pleaded guilty to wire fraud for ... Continue reading "Broker Ismail Elmas Pleads Guilty to Wire Fraud" »
The Jon Guay story is one of a wolf in sheep's clothing. Guay, who recently pleaded no contest to fraud and grand theft, was accused of befriended a group of people in California's Bay Area, ... Continue reading "California Man Steals $300,000 from Bay Area Investors" »
By Courtney Werning Up until April, Donna Jessee Tucker was working as a broker for UBS Financial Services, Inc. ("UBS"), one of the largest brokerage firms in the world. On July 31 st, the ... Continue reading "Former UBS Broker Sued By SEC for Defrauding Blind, Elderly Customers" »
By Chad M. Kohler, Esq. "A guaranteed income for life" sounds like a pretty good proposition to most investors. When I was a stockbroker, I heard countless sales pitches from variable ... Continue reading "Warning from Former Broker About Variable Annuities" »
The Division of Securities along with the North American Securities Administrators Association (NASAA) released a new list of Top Investor Threats. This year's list has the Jumpstart Our Business ... Continue reading "New List of Top Investor Threats Released" »
Public information on stockbrokers may be incomplete according to a recent study conducted by the Public Investors Arbitration Bar Association (PIABA). The study revealed that the overwhelming ... Continue reading "Study Reveals 90 Percent of Expungements Are Granted in Stockbroker Arbitration Cases" »
Meyer Wilson is currently investigating Raymond James Financial Services (RJFS) sales of Canadian Royalty Trust ("Canroy") stocks and potential recovery for victims of the alleged ... Continue reading "Raymond James Financial Services Sales of Canadian Royalty Trust Stocks" »
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