Recent Posts in November, 2016

• VALIC Financial Advisors, Inc. Fined $1.75 Million

  Nov 28, 2016
  The Financial Industry Regulatory Authority (FINRA) has fined VALIC Financial Advisors, Inc., a Houston-based broker-dealer, $1.75 million. VALIC ...
  Posted By Meyer Wilson
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• Investor Advice: Be Wary Of All-Or-Nothing Options

  Nov 23, 2016
  Trading binary options may seem tempting depending on your situation, but come with an extremely high level of risk due to the fact that they are ...
  Posted By Meyer Wilson
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• Oppenheimer & Co. Sanctioned $3.4 Million for Numerous Violations

  Nov 22, 2016
  The Financial Industry Regulatory Authority (FINRA) announced on November 17 that it has ordered Oppenheimer & Co. Inc. to pay customers $1.85 million ...
  Posted By Meyer Wilson
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• Former Broker Gerald Cocuzzo Pleads Guilty to Securities Fraud

  Nov 21, 2016
  Former Newbridge Securities Corp. broker Gerald J. Cocuzzo (CRD# 4047511) pleaded guilty to charges relating to his role in a $131 million market ...
  Posted By Meyer Wilson
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• Meyer Wilson Investigating Claims Against Former Broker Jay Gruenebaum

  Nov 14, 2016
  The securities fraud attorneys at Meyer Wilson are currently investigating claims against former broker Jay J. Gruenebaum (CRD# 2351888). The ...
  Posted By Meyer Wilson
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• Don't Forget About Your Brokerage Account Statement

  Nov 8, 2016
  Following Ameriprise Financial Services, Inc.’s failure to detect that one of their registered representatives had converted more than $370,000 from ...
  Posted By Meyer Wilson
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• Federal Court Upholds DOL Fiduciary Duty Rule

  Nov 8, 2016
  The National Association for Fixed Annuities’ (NAFA) attempt to challenge the Department of Labor’s (DOL) new fiduciary rule for retirement advice was ...
  Posted By Meyer Wilson
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• Legitimate Ways to Recover Your Losses

  Nov 4, 2016
  Losing your money to a bad investment or scam can be devastating both financially and personally, but all hope isn’t necessarily lost. You have ...
  Posted By Meyer Wilson
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