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(614) 502-6165Aegis 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 ...
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 ...
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 ...
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 ...
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 ...
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 ...
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 ...
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 ...
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 ...
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 ...
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 ...
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 ...
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 ...
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 ...
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 ...
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 ...
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 ...
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 ...
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 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 ...
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 ...
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 ...
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 ...
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 ...
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 ...
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 ...
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 ...
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 ...
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 ...
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 ...
