Recent Posts in the Stockbroker Misconduct Category

• James Flynn Customers Complain About Real Estate and Annuity Investments

  Sep 17, 2018
  Former broker James Flynn was recently barred by FINRA after failing to respond to the agency's requests for information. He has been the subject of ...
  Posted By Meyer Wilson
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• Did You Overpay for Mortgage Bonds?

  Sep 12, 2018
  The SEC has charged Merrill Lynch with misleading customers on mortgage bond prices and overcharging for trades to increase profits. Mortgage Bond ...
  Posted By Meyer Wilson
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• How to Recover Losses in FIP

  Jul 24, 2018
  Future Income Payments Reportedly Costs Investors More Than $100 Million Future Income Payments, a company run from a mailbox located in a strip mall ...
  Posted By Meyer Wilson
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• Defrauding Investors by Inflating Fund Performance

  Jul 17, 2018
  Broker-dealers who inflate investment fund performance to retain business and gain new clients deny investors the opportunity to make informed ...
  Posted By Meyer Wilson
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• SEC's Best Interest Standard Causing Confusion Over Undefined Rules, Vague Language

  Jul 13, 2018
  The Securities Exchange Commission (SEC) has proposed a new best interest standard that requires brokers to act in the best interest of their clients, ...
  Posted By Meyer Wilson
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• Did Your Broker Engage in Unsuitable Options Trading on Your Behalf?

  Jun 28, 2018
  Although options can add flexibility to a client's portfolio, clients are often enticed into unsuitable options trading with high risks, speculative ...
  Posted By Meyer Wilson
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• FINRA Proposing a Wider Net to Capture Churning Brokers

  Jun 27, 2018
  On April 20, the Financial Industry Regulatory Authority (FINRA) proposed a new rule that expands the liability of churning practices. The new rule ...
  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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