Meyer Wilson Blog

• Ohio Broker Michael Mackay Barred Over FINRA Investigation into Outside Business Activity

  Jul 10, 2019
  Ohio Broker Michael Richard Mackay (CRD#2279775) has been barred by FINRA for failing to comply with a regulatory investigation into alleged outside ...
  Posted By Meyer Wilson
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• Utah LPL Rep Jason Nelson Barred by FINRA

  Jun 18, 2019
  Jason Reed Nelson, a former LPL Financial representative in Tremonton, Utah, has been barred by FINRA over failing to cooperate with an investigation ...
  Posted By Meyer Wilson
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• Ameritas Broker James Anderson Permanently Barred From Securities Industry

  Jun 12, 2019
  Were you a client of James F. Anderson? The South Dakota broker has been permanently barred from the securities industry for failing to cooperate with ...
  Posted By Meyer Wilson
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• Louisiana Broker Benjamin Bourgeois Jr. Barred by FINRA in Investment Fraud Investigation

  Jun 4, 2019
  Regulatory officials from FINRA have barred Louisiana Broker-Advisor Benjamin Frank Bourgeois Jr. (CRD# 2145555) for failing to cooperate with an ...
  Posted By Meyer Wilson
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• Former Advisor William Hobby Implicated in 20+ Customer Disputes

  May 28, 2019
  Former Broker / Advisor William David Hobby (CRD# 2240076) has been implicated in over 20 customer disputes, according to FINRA’s online BrokerCheck ...
  Posted By Meyer Wilson
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• Proposed FINRA Rule Would Address Supervision of Brokers who Pose the Highest Risk to Investors

  May 23, 2019
  As part of its mission to regulate broker-dealers and their employees, the Financial Industry Regulatory Authority (FINRA) is now proposing a new rule ...
  Posted By Meyer Wilson
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• Broker Matthew Buchsbaum Faces Investor Complaints

  May 22, 2019
  UBS Financial Services Inc.’s broker Matthew Buchsbaum (CRD# 2220565) is facing a number of complaints from customers who are alleging that he ...
  Posted By Meyer Wilson
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• New Jersey Broker Andrew F. Perry Faces Investor Complaints

  May 16, 2019
  Financial Broker Andrew F. Perry’s conduct is the subject of two pending complaints lodged by customers who claim they suffered significant financial ...
  Posted By Meyer Wilson
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