At Meyer Wilson, we believe that your trust in the financial industry should be met with integrity and transparency. Unfortunately, there are instances where this trust is compromised, and it’s our mission to help investors navigate through such challenges. We are currently delving into potential claims for investors who may have experienced financial harm due to the actions of securities broker Ronald Leonard Whittingham, based in Chicago, Illinois.
Our investigation revolves around the tenure of Mr. Whittingham at Cetera Advisors LLC, where he has been registered since February 28, 2019. His professional background also includes a stint at LPL Financial LLC from April 28, 2016, to March 7, 2019. During his career, Mr. Whittingham has faced sanctions from regulatory bodies.
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In one instance, the Indiana Commissioner of Insurance took disciplinary action against Mr. Whittingham on August 16, 2022. The Commissioner prohibited him from reapplying for licensure for a decade, a significant restriction bearing in mind the importance of regulatory compliance in the securities industry.
The Financial Industry Regulatory Authority (FINRA) has also sanctioned Mr. Whittingham. On October 28, 2021, FINRA issued a case against him for falsifying documents related to variable annuity replacements. According to FINRA’s findings, Mr. Whittingham allegedly misrepresented the benefits of variable annuity exchanges to his clients, advising them to remove benefits before the exchanges without informing his firm. This action not only misrepresented the transactions but also resulted in the firm keeping inaccurate books and records. Following an Acceptance, Waiver, and Consent (AWC) agreement, Mr. Whittingham was suspended for three months and faced a monetary penalty.
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If you’ve suffered investment losses due to the conduct of Ronald Whittingham, Meyer Wilson is here to offer you the legal guidance you need. We have a strong track record of recovering losses for investors across the United States. We operate on a contingency fee basis, which means we advance all costs associated with the legal process. Our approach ensures that our clients can seek justice without any initial financial burden.
It is essential to recognize that brokerage firms associated with Mr. Whittingham have denied any allegations of sales practice violations. Nevertheless, at Meyer Wilson, we are dedicated to upholding your rights as an investor and ensuring that any misconduct is addressed accordingly.
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We encourage you to contact Meyer Wilson at 866-938-2021, should you wish to discuss a potential recovery of your investment losses. Our team of seasoned securities attorneys is prepared to explore all avenues to help you reclaim what is rightfully yours. Trust us to provide the support and expertise you need during this challenging time. Remember, your path to financial recovery starts with a conversation, and we are here to listen and act on your behalf. Visit our website at investorclaims.com for more information.
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