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Industry News & Information

Part of what makes Meyer Wilson so unique is that we do not spread our resources thin over many different legal practice areas; nor do we take on a large caseload of investor claims cases. Investment and securities arbitrations and lawsuits require a deep understanding of the securities industry and tremendous attention to detail.

Can My Broker or Financial Advisor Trade in My Account Without My Permission?
05/10/2022

What to Do If You Suspect Your Broker Engaged in Unauthorized Trading Under most circumstances, a broker or financial advisor cannot trade in your account without your permission. There are very limited exceptions to this rule. Unauthorized trading i ...

FINRA Grants Largest Ever Award for UBS YES Case
05/10/2022

Nearly $1.9 Million Awarded to Customers in UBS Yield Enhancement Strategy Financial Industry Regulatory Authority (FINRA) arbitrators have awarded over $1,875,000 to two family trusts involving the late Irving Siegel. The award marks the largest eve ...

Can I Get My Money Back After Investment Fraud?
05/10/2022

Recovering Losses After Investment or Securities Fraud As an investor, any financial losses can be devastating.  When those losses are related to fraud or misconduct, the wrongdoing should be held accountable.  Depending on the circumstance ...

Meyer Wilson Representing Investors in Annuity Misrepresentation Case
03/25/2022

Meyer Wilson recently filed a securities arbitration case against the Leaders Group, Inc. concerning allegations that its former registered representative, Harold Schwartz, made material misrepresentations regarding the sale of an annuity to firm cus ...

SEC Indicts Former LPL Broker Kerry L. Hoffman on $3.3m Investor Fraud
03/25/2022

Kerry Lee Hoffman (CRD# 1061740) has been sued by the SEC for  allegedly defrauding at least 46 investors out of $3.3 million dollars. The alleged fraud occurred between July 2015 and July 2018 while Hoffman was a registered broker with LPL Fina ...

New Jersey Broker Andrew F. Perry Faces Investor Complaints
03/24/2022

Financial Broker Andrew F. Perry’s conduct is the subject of two pending complaints lodged by customers who claim they suffered significant financial losses when working with the New Jersey-based advisor during his time at UBS Financial Services. A ...

Ma Rosa Linan Abrego Barred by FINRA Over Misappropriation Inquiry
03/24/2022

Ms. Abrego was recently barred by FINRA in the wake of allegations that she misappropriated client funds. Hailing from McAllen, Texas, Ms. Abrego was terminated by Merrill Lynch on June 10, 2019, after spending just three years at the company and in ...

Did Michael Chandler of Infinex Investments Inc. Sell You Non-Traded REITs?
03/24/2022

Meyer Wilson is investigating allegations that Michael Chandler, a Mississippi-based broker and investment adviser, recommended unsuitable, illiquid investments, including non-traded Real Estate Investment Trusts (REITs). Chandler currently works for ...

Did Gustavo Miramontes Make Unauthorized and Unsuitable Trades in Your Account?
03/23/2022

Meyer Wilson is investigating allegations that California-based broker Gustavo Miramontes engaged in unauthorized, unsuitable trading. Miramontes currently works for Oppenheimer & Co. Inc. He worked for Wedbush Securities, Inc. up to 2018. Miramo ...

Did You Lose Money in an Account Managed by Former Cetera Investment Advisers Broker Hui Zhang?
03/21/2022

Meyer Wilson is investigating allegations that California-based broker and investment adviser Hui Zhang misrepresented in the recommendation of unsuitable, illiquid Real Estate Investment Trusts (REITs), including ARC Healthcare Trust. Zhang currentl ...

Did Michael May Engaged in Unsuitable Trades in Your Account?
03/20/2022

Meyer Wilson is investigating allegations that Michael May, a New York-based broker, engaged in excessive and unsuitable trading in customer’s accounts, with significant margin exposure and interest. May has been working for VCS Venture Securities ...

Did Christopher Bond Engage in Unauthorized Trading in Your Account?
03/19/2022

Meyer Wilson is investigating allegations that New York broker Christopher Bond engaged in unauthorized trading in a customer’s account. Bond has been registered with the brokerage firm National Securities Corporation since 2004. Bond has been the ...

Did Indiana-Based Broker Seth Stewart Invest Your Money in Risky Securities?
03/18/2022

Meyer Wilson is investigating allegations that Seth Stewart, an Indiana-based broker, engaged in the misrepresentation of unsuitable, illiquid, alternative investments. Stewart is no longer registered to sell securities, but he is still a licensed in ...

Did You Lose Money With Former Voya Financial Broker William Johnson?
03/17/2022

Meyer Wilson is investigating allegations that William Johnson, a Connecticut-based broker, made multiple unsuitable recommendations to purchase speculative, non-traded Real Estate Investment Trusts (REITs) and other alternative investments, includin ...

Were You Sold Non-Traded REITs by Former Cetera Broker Darryl Ferguson?
03/16/2022

Meyer Wilson is investigating allegations that Illinois-based broker Darryl Ferguson recommended unsuitable, non-traded Real Estate Investment Trusts (REITs). Ferguson currently works for LPL Financial LLC. From 2007 to 2018, he was registered with C ...

Did You Suffer Losses in an Account Managed by Sebastian Wyczawski?
03/15/2022

Meyer Wilson is investigating allegations that New York-based broker Sebastian Wyczawski engaged in excessive and unsuitable trading, including the use of margin, in customers’ accounts. Wyczawski currently works for VCS Venture Securities. He prev ...

Top 10 Warning Signs of Investment Fraud
03/03/2022

How Investors Can Protect Themselves and Their Money Investment fraud is prevalent in the United States and around the world. Scammers have targeted even the most sophisticated investors, promising high returns with little-to-no risk. To protect your ...

5 Ways to Protect Your Cryptocurrency From Fraud & Hacking
03/03/2022

Safeguarding Your Cryptocurrency and Other Digital Assets In the past two years, the price of cryptocurrency has skyrocketed, reaching historic highs in late 2021 before cooling slightly earlier this year. The meteoric rise of the crypto industry has ...

David Meyer Asked to Weigh in on New Ohio Investor Recovery Fund
03/02/2022

As managing partner of Meyer Wilson, David Meyer was asked to weigh in on Ohio’s new proposed Rule 1301:6-3-471, which seeks to implement the Ohio Investor Recovery Fund. The Fund would allow Ohioans to claim from the Fund up to 25% or $25,000, whi ...

The Investment Fraud Attorneys at Meyer Wilson Are Investigating Claims and Speaking to Victims of Philip Incorvia’s Alleged Ponzi Scheme
02/10/2022

Meyer Wilson is investigating claims that Philip Incorvia, a long-time broker at Henley & Co. out of New York, may have sold clients fraudulent investments. Incorvia died in August 2021. After his death, victims have come forward to allege that I ...

Did Mark Former Make Unauthorized Trades or Recommend Unsuitable Investments on Your Account?
02/07/2022

Meyer Wilson is investigating allegations that Illinois-based broker Mark Former engaged in unauthorized trading and recommended unsuitable investments, including direct investments into Direct Participation Programs (DPPs) and Limited Partnership (L ...

Did You Have an Account Managed by Kevin McCallum of LPL Financial?
02/02/2022

Meyer Wilson is investigating allegations that Alabama-based broker Kevin McCallum engaged in unauthorized trading and unsuitable purchases of risky investments. McCallum worked for LPL Financial until 2019 and has not been registered since. McCallum ...

Did You Lose Money in an Account Managed by Andrew Marschall?
01/31/2022

Meyer Wilson is investigating allegations on behalf of investors that Andrew Marschall, a Maryland-based broker, recommended unsuitable investments of non-traded Real Estate Investment Trusts (REITs) to his customers. Marschall has worked for PNC Inv ...

Did You Suffer Investment Losses While Working With Arkadios Capital Broker Kevin Rainwater?
01/18/2022

Meyer Wilson is investigating allegations that Kevin Rainwater, an Atlanta-based broker and investment advisor, engaged in investment misconduct that caused his customers to suffer financially. Rainwater currently works for Arkadios Capital, where he ...

Meyer Wilson Representing Investors in Claims Involving Improper Reit Sales and Other Unsuitable Investments Sold by Cetera Advisors
01/13/2022

The investment fraud lawyers at the law firm of Meyer Wilson are representing clients and investigating other claims on behalf of former customers of Cetera Investments Services, LLC, and its affiliates, who may have been improperly sold investments ...

Meyer Wilson Investigating Potential Legal Claims Involving Financial Advisor Richard Braverman of Geneos Wealth Management
01/13/2022

The investment fraud lawyers at the law firm of Meyer Wilson are investigating potential legal claims involving financial advisor Richard Mark Braverman (CRD#: 1023227). Braverman is a registered representative of Geneos Wealth Management, Inc., and ...

Meyer Wilson Investigating Potential Legal Claims Against Worden Capital Management Relating to Excessive and Unsuitable Trading by Stockbroker John Lopinto
01/12/2022

On January 11, 2022, the Financial Industry Regulatory Authority announced sanctions against John Michael Lopinto (CRD#: 4563735). The sanctions stem from allegations that Lopinto engaged in excessive and unsuitable trading in at least five customer ...

Did Ivan Cen Sell You Risky, Non-Traded Real Estate Securities?
01/11/2022

Meyer Wilson is investigating claims on behalf of investors that Ivan Cen, a California-based financial advisor registered with Cetera Investment Services, sold his clients inappropriate investments. Customers have filed three complaints against Cen ...

View From the Trenches: Investors Should Steer Clear of Cryptocurrency
01/10/2022

In my book The Investor Protector, I share stories from my 25 years as an attorney representing investors who lost their life savings at the hands of financial advisors who lied, cheated or stole from them. In many instances my clients were enti ...

Meyer Wilson Is Taking Calls From Clients of David N. Adams
01/10/2022

Meyer Wilson is investigating allegations that Jacksonville, Florida-based securities broker David Norman Adams recommended unsuitable investments to his clients. Adams currently works for Ameriprise Financial Services, where he has been a registered ...

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The information contained in this Website is provided for informational purposes only, and should not be construed as legal advice on any subject matter. No recipients of content from this site, clients or otherwise, should act or refrain from acting on the basis of any content included in the site without seeking the appropriate legal or other professional advice on the particular facts and circumstances at issue from an attorney licensed in the recipient's state. Read More
The information contained in this Website is provided for informational purposes only, and should not be construed as legal advice on any subject matter.
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