Category: Current Investigations
Current Investigations | March 31, 2020
By: Courtney Werning, Esq. Gerald Roger Dewes, formerly of Cadaret, Grant & Co. in Erie Country, New York, was permanently barred by FINRA yesterday. Dewes failed to comply with FINRA’s investigation into his potential undisclosed private securities transactions and outside business activities. On November 18, 2019, Dewes was terminated from Cadaret for, according to the… read more
By: Courtney Werning, Esq. The investment fraud attorneys at Meyer Wilson are investigating allegations that Murray Todd Peterson of Roseville, California may have sold investors a diamond investment scam. Peterson was registered at the brokerage firm SCF Securities from 2012 through October 2019, at which time he was terminated for misstating and/or omitting material facts… read more
By: Courtney Werning, Esq. The investment fraud attorneys at Meyer Wilson are representing dozens of investors across the country in cases against the brokerage firms that approved GPB for sale to its customers. A brokerage firm’s most basic obligation to its customers is to properly and thoroughly conduct a due diligence investigation on an investment… read more
The US Securities and Exchange Commission (SEC) recently announced that they have obtained a restraining order and filed an emergency enforcement action against Today’s Growth Consultant Inc. as well as company owner, Kenneth D. Courtright III. Courtright was arrested on criminal fraud charges in addition to the securities fraud charges brought by the SEC. It… read more
FINRA barred Michael Carter for refusing to cooperate with regulatory investigation over misconduct allegations. Call Meyer Wilson if you have suffered losses.
Lose money investing with Fort Meyers Advisor David A. Rockwell? Rockwell is accused of fraud and misappropriation by clients seeking $1.2M in damages. Call Meyer Wilson to discuss options.
Lose money investing at the recommendation of Jose Cornide? The Florida UBS Broker is facing complaints of unsuitability and misrepresentation resulting in substantial losses. Call Meyer Wilson.
Former UBS Financial Services Broker Nicolas J. Barrios was barred by FINRA. Call Meyer Wilson to speak with an investment loss attorney about your options.
Lose money investing with former Wells Fargo Advisor Robert F. Montes? Montes has been barred by FINRA for not cooperating with an investigation into potential misuse of elderly customer funds.
Former LPL Financial Broker/Adviser Kerry L. Hoffman has been sued by the SEC in a $3.3M investor fraud case involving unregistered GT Media securities. Meyer Wilson is reviewing claims nationwide.