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Blog: Brokerage Firms

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May 05, 2022

Recover Your Losses in GWG Holdings, Inc. with Meyer Wilson

Now Accepting GWG Holdings Investor Claims Nationwide Last month, GWG Holdings, Inc. filed for Chapter 11 bankruptcy protection. In light...
May 05, 2022

Did You Invest With Morgan Stanley Broker Shawn E. Good?

Recently fired Morgan Stanley advisor, Shawn E. Good, of Wilmington, NC, has been accused by federal regulators of running a...
May 05, 2022

Can My Broker or Financial Advisor Trade in My Account Without My Permission?

What to Do If You Suspect Your Broker Engaged in Unauthorized Trading Under most circumstances, a broker or financial advisor...
March 03, 2022

New Jersey Broker Andrew F. Perry Faces Investor Complaints

Financial Broker Andrew F. Perry’s conduct is the subject of two pending complaints lodged by customers who claim they suffered...
March 03, 2021

Say, What?!? Brokerage Firms Pushing Regulators to End On-Site Inspections

If brokerage firms have their way, temporary measures adopted in response to COVID may become permanent, putting customers at risk....
July 07, 2020

Malachite Capital LP Being Investigated For Investment Losses

Malachite Capital Partners LP is currently being investigated for possible fraud or breach of fiduciary duty to investors. At Meyer Wilson,...
June 06, 2020

Massachusetts Charges GPB Capital Holdings With Securities Fraud

William Galvin, the top securities regulator in Massachusetts, filed a Complaint against GPB Capital this week that alleges GPB Capital issued illegal...
May 05, 2020

Coronavirus Causes Continued Losses For UBS Yes Investors: How To Recover Losses

The coronavirus pandemic has led to an unprecedented situation in this country. We have dealt with, and are still going...
April 04, 2020

Morgan Stanley Loses Appeal of $3.3 Million Finra Arbitration Award

According to InvestmentNews, a federal judge denied Morgan Stanley’s motion last week to appeal a $3.3 million FINRA arbitration award it...
April 04, 2020

Meyer Wilson Investigates Claims Against Newbridge Securities Broker Scott S. Brooks for the Sale of GBP Capital Funds

Meyer Wilson is currently investigating claims against Newbridge Securities broker Scott Brooks of San Clemente, California for the inappropriate sale...
April 04, 2020

Financial Planners: What Are They and Who Is Regulating Them?

Investors are confronted with a variety of professional designations for people in the financial services industry, but it can be...
March 03, 2020

Meyer Wilson Investigates Barred Broker Gerald Roger Dewes

Gerald Roger Dewes, formerly of Cadaret, Grant & Co. in Erie Country, New York, was permanently barred by FINRA yesterday.  Dewes failed...

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