R.F. Lafferty & Co. Broker Accused of Wrongdoing Registered broker Richard John Belz has been accused of wrongdoing. According to multiple customer disputes, allegations by investors include that Belz was churning investments, making unsuitable r ...
Three Attorneys Selected for Honor in Peer Reviewed Process Multiple attorneys from Meyer Wilson were selected for the Super Lawyers 2023 list. No more than five percent of lawyers in a state are chosen for the annual publication. Meyer Wilson is pro ...
Previously Registered LPL Financial and Parkland Securities Broker Accused of Misappropriating Client Funds Previously registered broker Patrick Noel Thayer has been suspended by the Financial Industry Regulatory Authority (FINRA) after allegations t ...
Recognizing Stockbroker Misconduct and Wrongdoing If you sustain investment losses because of a stockbroker’s recommendations you may wonder whether you are entitled to compensation. When a broker engages in misconduct by violating a securities law ...
FINRA Continues Enforcement Actions Against Brokerages in GPB Capital Scandal Four advisor groups have agreed to pay nearly $1.3 million in fines and restitution after an investigation by the Financial Industry Regulatory Authority (FINRA) found that ...
How Financial Advisers May Be Hiding Claims, Complaints, and Lawsuits Attorney Courtney Werning of Meyer Wilson was recently quoted in The Wall Street Journal speaking on the disclosure requirements of investment advisers, or rather the lack thereof. ...
DOJ Alleges Giri Involved in $10 Million Crypto Ponzi Scheme Rathnakishore Giri is facing federal charges related to an alleged cryptocurrency Ponzi scheme that defrauded investors out of millions. Giri, who is being investigated by multiple agencies ...
Meyer Wilson is investigating potential claims against Citigroup for Rabih Msallem’s sale of structure notes. Meyer Wilson has been speaking with clients of Rabih Moufid Msallem, a Citigroup Global Markets investment adviser and broker, regar ...
Did You Suffer Losses After Investing with Edward Allen Maynard? Former Cambridge Investment Research Broker Edward Allen Maynard is accused of over-concentrating a client’s portfolio in non-conventional investments resulting in a multi-million dol ...
UBS Financial Broker Accused of Unsuitability and Misrepresentation in Recommending Options Overlay Strategy UBS Financial Broker Matthew Buchsbaum has been accused of multiple allegations of wrongdoing. He currently has nearly a dozen pending custom ...
Did You Suffer Financial Losses After Investing with Sonia Attkiss of UBS Financial Services? Sonia Attkiss, a registered broker with UBS Financial Services, Inc. is facing multiple allegations of wrongdoing. The broker is accused of making unsuitabl ...
Former Sigma Financial Broker Fired Clark D. Harris, a registered broker and investment advisor, has faced multiple allegations of misconduct and wrongdoing. Accusations include that Harris recommended and sold illiquid alternative investments ...
