FINRA | July 30, 2020
FINRA Enforcement recently released some information on how and when one of its investigations turns into an actual enforcement action against one of its broker dealers or registered representatives. Jessica Hopper, Head of FINRA Enforcement, explained the enforcement process. FINRA starts investigations based on information received from various sources, including their own examinations of the… read more
Lose money investing with Bobby Wayne Coburn? The Fort Meade Broker was barred by FINRA for failing to cooperate with an investigation into unapproved securities transactions. Call Meyer Wilson.
Lose money investing with former Chicago Merrill Lynch Representative Marcus Boggs? Boggs has been accused by the SEC of stealing over $1.7M in client funds to pay personal bills. Call Meyer Wilson for a consultation.
Lose money investing with Elias Herbert Hafen? The former Manhattan Advisor pled guilty to investment fraud charges over a scheme carried out during his time at Morgan Stanley. Call Meyer Wilson to discuss your case.
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.
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.
Did you lose money investing with Jason Reed Nelson? The Tremonton, UT LPL Financial Broker has been barred by FINRA.