Category: Current Investigations

FINRA Bars Former Morgan Stanley Broker for Failure to Cooperate with Investigation

FINRA barred Michael Carter for refusing to cooperate with regulatory investigation over misconduct allegations. Call Meyer Wilson if you have suffered losses.

Fort Myers Financial Advisor David Rockwell Facing Client Claims Of Alleged Forgery, Fraud & Misappropriation

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.

UBS Broker Jose Cornide Hit With Unsuitability, Misrepresentation Complaints

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.

UBS Broker Nicolas Barrios Barred For Failure to Cooperate with Fraud Investigation

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.

Former Wells Fargo Rep Robert Montes Barred by FINRA After Investigation Into The Possible Misuse of Elderly Client Assets

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.

SEC Indicts Former LPL Broker Kerry L. Hoffman on $3.3M Investor Fraud

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.

Ohio Broker Michael Mackay Barred Over FINRA Investigation into Outside Business Activity

Did you lose money investing with Transamerica broker Michael R. Mackay? The former Cincinnati broker has been barred by FINRA over failures to comply with an investigation into alleged outside business activity.

Utah LPL Rep Jason Nelson Barred by FINRA

Did you lose money investing with Jason Reed Nelson? The Tremonton, UT LPL Financial Broker has been barred by FINRA.

Louisiana Broker Benjamin Bourgeois Jr. Barred by FINRA in Investment Fraud Investigation

Commonwealth Financial Broker Benjamin Bourgeois Jr. has been barred by FINRA for failing to comply with an investment fraud investigation. Suffer losses? Call Meyer Wilson to discuss your options.

Former Advisor William Hobby Implicated in 20+ Customer Disputes

Did you lose money investing with former Atlanta UBS Advisor William Hobby? Call Meyer Wilson to speak with a nationwide investment loss attorney about your options.