Recent Posts in the Brokerage Firms Category

• Former UBS Advisor Ricardo Turlan Terminated Over Allegations of Unauthorized Trading, Unsuitability

  Sep 3, 2019
  Ricardo Turlan (CRD# 443186) has been discharged from UBS Financial Services Inc. over allegations that he exercised discretion in client accounts ...
  Posted By Meyer Wilson
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• Merrill Lynch, Pierce, Fenner & Smith Inc. Fined $42 Million for Misleading Customers

  Jun 25, 2018
  The Securities and Exchange Commission (SEC) recently announced that Merrill Lynch has agreed to pay $42 million for misleading its customers and its ...
  Posted By Meyer Wilson
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• Meyer Wilson Investigating Investor Losses in Business Development Companies

  Oct 11, 2017
  The investment fraud attorneys at the Meyer Wilson law firm have seen an increase in instances of brokerage firm customers, particularly retirees and ...
  Posted By Meyer Wilson
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• Merrill Lynch Fined $7 Million by FINRA

  Dec 1, 2016
  Merrill Lynch, Pierce, Fenner & Smith Inc. has been fined $6.25 million, with an additional $780,000 to be paid in restitution, after the Financial ...
  Posted By Meyer Wilson
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• 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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• FINRA Fines Ameriprise Financial $850,000 for Supervisory Failures

  Sep 15, 2016
  Ameriprise Financial Services, Inc. has been fined $850,000 by the Financial Industry Regulatory Authority (FINRA) after the company failed to detect ...
  Posted By Meyer Wilson
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• SEC Fines Raymond James and Robert W. Baird & Co. $850,000 Over Compliance Failures

  Sep 15, 2016
  The United States Securities and Exchange Commission (SEC) announced on September 8 th that they settled $850,000 worth of charges with the investment ...
  Posted By Meyer Wilson
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• Columbus Stockbroker Arrested for Stealing $500,000 from an Elderly Upper Arlington Resident, According to Police

  Aug 2, 2016
  Stifel, Nicolaus Broker Jon Schmidhammer Has History of Regulatory Problems By: David P. Meyer, Esq., Founding Partner of Meyer Wilson An elderly ...
  Posted By Meyer Wilson
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