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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.

Meyer Wilson Investigates Alvery Bartlett for Alleged Unsuitable Investment Recommendations
07/06/2022

Aegis Capital Broker Subject of Multiple Customer Disputes Registered broker Alvery Anthony Bartlett is facing allegations of wrongdoing filed by multiple clients. According to a recently filed customer dispute, Bartlett is accused of making unsuitab ...

Has Matthew Divirgilio Sold You Inappropriate Investments?
07/05/2022

Cetera Broker Accused of Recommending Unsuitable Investments Cetera Advisors LLC broker and investment adviser Matthew Primo Divirgilio has been accused of making unsuitable recommendations resulting in customer losses for the second time in his care ...

Attorney Courtney Werning Named Principal At The Meyer Wilson Law Firm
07/01/2022

Meyer Wilson, a national law firm focused on investor claims and class and mass actions, is pleased to announce the promotion of Attorney Courtney Werning to the position of Principal with the firm. Ms. Werning joined Meyer Wilson as a law clerk in 2 ...

NRIA Files Bankruptcy After Multiple Investigations
06/30/2022

National Realty Investment Advisors (NRIA) Investors May Have Been Defrauded National Realty Investment Advisors (NRIA) has filed for Chapter 11 bankruptcy after multiple state and federal investigations into potential wrongdoing. The New Jersey-base ...

Meyer Wilson Investigates Mark Lott
06/29/2022

Former Everspire Adviser Permitted to Resign After Allegations of Misconduct Mark Lott, a former investment adviser with Everspire, was permitted to resign from his position after allegations of misconduct. According to his BrokerCheck report, he was ...

Representative Jamel Gordon Resigns After Failure to Follow Firm Procedures
06/28/2022

Former Raymond James Broker Discharged for Misconduct Registered broker Jamel Gordon was discharged from his employment with Raymond James Financial Services, Inc. after the firm alleged he failed to follow firm policies and procedures. He is current ...

Broker David Gershoni Investigated
06/27/2022

Former Ameriprise Financial Services Broker Subject of Multiple Customer Complaints  David Philip Gershoni (CRD#: 2138675) was recently discharged from his employment with Ameriprise Financial Services, LLC after allegations that he violated com ...

Meyer Wilson Investigates Broker Robert Wolfe
06/24/2022

Former Goldman Sachs Broker Accused of Unsuitability, Negligence, and Misrepresentation Robert Brian Wolfe, a previously registered broker, is the subject of several pending and settled customer disputes dating back to August 2020. The disputes invol ...

Representative Joshua Mauk Voluntarily Resigns Amidst Internal Investigation
06/23/2022

The Former PFS Investments Broker Voluntarily Resigned After Allegations of Misconduct  Broker Joshua Mauk has voluntarily resigned from his position with PFS Investments, Inc. after allegations that he conducted approximately 80 mutual fund cro ...

Broker Bruce Amman Terminated After Private Securities Transactions
06/22/2022

The Former LPL Financial Broker Was Suspended by FINRA The Financial Industry Regulatory Authority (FINRA) has suspended former LPL Financial broker Bruce Amman after allegations that he participated in a private securities transaction without provid ...

Have You Suffered Investment Losses Working With Investment Adviser Cristopher Bice?
06/21/2022

Meyer Wilson Is Currently Investigating Claims that Bice Made Unsuitable Investment Recommendations Christopher R. Bice, a broker and investment adviser with Sagepoint Financial, Inc., has been accused of making unsuitable recommendations by several ...

Have You Suffered Financial Losses With Investment Adviser Kenneth Blumberg?
06/17/2022

Recovering Losses After Suspected Adviser Misconduct  According to publicly available information, Kenneth David Blumberg (CRD: 1585520), a registered broker and adviser with Stifel, Nicolaus & Company, is facing a new customer dispute. The ...

Broker Donovan Kelly Suspended for Recommending Private Placement Purchases
06/16/2022

Did You Invest with IFG Broker Donovan Kelly? Independent Financial Group broker and adviser Donovan Thomas Kelly has been suspended by the Financial Industry Regulatory Authority (FINRA) for violating securities rules after participating in private ...

Have You Suffered Losses in Hospitality Investors Trust REIT?
05/20/2022

Recovering Losses After Investing in Hospitality Investors Trust (HIT)  Hospitality Investors Trust, Inc., is a publicly registered, non-traded real estate investment trust (“REIT”). The trust filed for Chapter 11 bankruptcy in 2021 after st ...

Recover Your Losses in GWG Holdings, Inc. with Meyer Wilson
05/19/2022

Now Accepting GWG Holdings Investor Claims Nationwide Last month, GWG Holdings, Inc. filed for Chapter 11 bankruptcy protection. In light of the filing, investors may be at risk of sustaining a complete loss of principal. Investors in GWG L Bonds are ...

Did You Invest With Morgan Stanley Broker Shawn E. Good?
05/17/2022

Recently fired Morgan Stanley advisor, Shawn E. Good, of Wilmington, NC, has been accused by federal regulators of running a Ponzi Scheme. The SEC has filed a complaint in Federal Court alleging Good defrauded his clients out of more than four and a ...

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 ...

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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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