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(614) 502-6165What 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 ...
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 ...
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 ...
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 ...
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 ...
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 ...
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 ...
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 ...
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 ...
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 ...
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 ...
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 ...
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 ...
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 ...
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 ...
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 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 ...
