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Hedge funds used to be very exclusive investment opportunities, but now
they are available to most all investors. Hedge funds can mirror mutual
funds, in that they are managed with the goal of achieving positive returns.
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There are new rules going into effect in 2017 that are expected to save
investors as much as $40 billion over the next decade. Learn more about
these retirement account protections.
Did your broker misinform you about what to expect out of MLP investments?
It is important to note that they are affected by the oil downturn. Learn
more about MLPs and your options.
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With a discretionary account, your broker is permitted to exercise their
own discretion and make purchases or sales of securities without talking
to you and getting your permission. Learn more about how this differs
from non-discretionary accounts and why it matters.
Each state has its own laws that it has passed to regulate the securities
industry. These state-by-state laws are known as "blue sky" laws.
It is difficult to estimate, because every case is so different. We recommend
speaking with someone from our firm for a more precise estimate.
While there are certain red flags that can indicate that you have a claim
against your advisor or broker, there is no tried-and-true formula for
determining if you have a valid claim.
Fiduciary duty is what your broker or financial advisor owes you. Essentially, when you
entrust your money to a broker, it is their job to act in your best interests.
These non-public offerings are risky, so if you lost money on this type
of investment, there may still be a chance for you to recover your losses.
Unfortunate but true, scammers' ideal prey is an elderly widow. Take the
necessary steps to educate yourself so you do not fall victim to investment fraud.
private placement is essentially a security that is not registered. Regulation D specifically
applies to certain types of unregistered securities.
Your broker should absolutely monitor your
asset allocation plan to ensure that you are getting the best return on investment possible.
unsuitability is a common claim for people who have lost money on an investment, this
is not always the case.
"FINRA" stands for the Financial Industry Regulatory Authority. It is the
largest independent securities regulator in the nation.
The SIPC stands for the Securities Investor Protection Corporation. This
organization helps investors recover money if their broker goes bankrupt/insolvent.
CPAs have a rare opportunity to help detect investment fraud and help protect
their clients. Learn what you should look for and what you can do to help.
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Investment Misconduct Blog
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 ...
Former Colorado broker Bruce Barber (CRD# 3095959) was terminated from his employment with Securities America in February for solicited his Securities America customers to ...
Boston broker Cornelius Peterson (CRD# 5769919) was terminated from Morgan Stanley Wealth Management on June 26, 2017. According to a recent BrokerCheck report available ...