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Blog: Current Investigations - Page 8

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January 5, 2022

Meyer Wilson Investigating Potential Investment Fraud Claims Involving Sean D. Casterline

Orlando area securities broker and investment adviser recently agreed to an 18-month suspension and other penalties for allegedly selling unapproved...
November 19, 2021

Did Your Investment Adviser From W.A. Smith Financial Group Sell You Risky, Non-Traded Real Estate Securities?

Meyer Wilson is investigating claims that W.A. Smith Financial Group, an investment advisory firm located in Cleveland, recommended that their...
August 4, 2021

Did Irvine-based Financial Advisor Howard Hsieh, Of Cetera Investment Services, Invest Your Money In Risky Non-traded Real Estate Securities?

Meyer Wilson is investigating claims that Howard Hsieh, an investment adviser and broker registered with Cetera Investment Services in Irvine,...
December 2, 2019

7 Customers Issue Complaints Against Broker Katherine Greer Nishnic for Investment Misconduct

Financial Advisor Katherine Greer Nishnic, who works with Centaurus Financial, Inc. in Lexington, South Carolina, is currently facing 7 pending...
November 18, 2019

Boca Raton Broker Alan Applebaum Involved in Several Customer Disputes

Have you lost money after investing with Boca Raton broker Alan Zelig Applebaum, currently a registered representative at Aegis Capital...
September 5, 2019

Fort Myers Financial Advisor David Rockwell Facing Client Claims of Alleged Forgery, Fraud & Misappropriation

Did you or someone you love lose money investing with David A. Rockwell (CRD# 4236377)? The Financial Advisor from Fort...
August 26, 2019

UBS Broker Jose Cornide Hit With Unsuitability, Misrepresentation Complaints

Jose Manuel Cornide Jr (CRD# 2785918) is currently facing complaints from investors who allege the UBS Broker made unsuitable recommendations...
August 9, 2019

UBS Broker Nicolas Barrios Barred for Failure to Cooperate With Fraud Investigation

Nicolas Jesus Barrios (CRD# 2122824) has been permanently barred from the securities industry for not providing requested documents and information...
August 8, 2019

Former Wells Fargo Rep Robert Montes Barred by FINRA After Investigation Into the Possible Misuse of Elderly Client Assets

Robert Frederico Montes (CRD# 835488) has been barred by the Financial Industry Regulatory Authority (FINRA) for failing to cooperate with...
July 31, 2019

SEC Indicts Former LPL Broker Kerry L. Hoffman on $3.3m Investor Fraud

Kerry Lee Hoffman (CRD# 1061740) has been sued by the SEC for  allegedly defrauding at least 46 investors out of...
July 10, 2019

Ohio Broker Michael Mackay Barred Over FINRA Investigation Into Outside Business Activity

Ohio Broker  Michael Richard Mackay (CRD#2279775) has been barred by FINRA for failing to comply with a regulatory investigation into...
June 18, 2019

Utah Lpl Rep Jason Nelson Barred By FINRA

Jason Reed Nelson, a former LPL Financial representative in Tremonton, Utah, has been barred by FINRA over failing to cooperate...

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