Meyer Wilson Blog

• Chicago Broker Bhenoy Dembla Barred by FINRA Over Falsifying Mutual Fund Sales Orders

  Feb 20, 2019
  FINRA has permanently barred Bhenoy Dembla (CRD# 4357042) over claims that he falsified documents concerning the sale of mutual funds. Dembla had been ...
  Posted By Meyer Wilson
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• Former Southern California Broker William M. Heiden Faces Claims Over Unauthorized Trades for Elderly Clients

  Feb 18, 2019
  Southern California Financial Advisor William Mark Heiden (CRD# 2885156) has been charged by the federal regulators with engaging in unauthorized ...
  Posted By Meyer Wilson
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• FINRA Bars Louisiana Advisor Kristian Gaudet Over Alleged Misuse of Client Funds, Failure to Testify

  Feb 13, 2019
  The Financial Industry Regulatory Authority (FINRA) has sanctioned and permanently barred former Louisiana Financial Advisor Kristian Guadet from the ...
  Posted By Meyer Wilson
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• New York Laidlaw & Company Advisor Kevin R. Wilson Facing Investor Complaints Over Substantial Alleged Losses

  Feb 12, 2019
  Broker-Advisor Kevin Richard Wilson (CRD# 3262701) is currently a registered securities broker with National Securities Corporation in New York City. ...
  Posted By Meyer Wilson
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• South Florida Broker-Advisor Christopher Hellman Barred by FINRA Over Alleged “Selling Away”

  Feb 11, 2019
  Christopher C. Hellman (CRD# 6584084) has been sanctioned and barred by securities industry watchdog FINRA. According to the Financial Industry ...
  Posted By Meyer Wilson
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• Stark County Financial Advisor Convicted on 53 Felony Counts for Operating $1.7M Ponzi Scheme

  Jan 21, 2019
  On Friday January 18, 2019, a Stark County jury returned a verdict finding former financial advisor Kimm C. Hannan guilty on all 53 felony counts of ...
  Posted By Meyer Wilson
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• Portland Wells Fargo Advisor Eric Neidermeyer Facing New Complaint Over Investor Losses, Risky Investments

  Jan 18, 2019
  Eric Paxton Neidermeyer (CRD# 1680870) has faced a series of serious allegations from customers. Four complaints have been settled and one is still ...
  Posted By Meyer Wilson
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• Colorado Broker Daniel Todd Levine Barred by FINRA

  Jan 17, 2019
  The Financial Industry Regulatory Authority (FINRA) has permanently barred former Colorado broker Daniel Todd Levine (CRD# 2874319) after he was ...
  Posted By Meyer Wilson
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