Headquartered in New York, NY, Cerity Partners LLC (“Cerity”) is a registered investment adviser (RIA), providing financial planning, tax, and investment services to individuals, businesses, and nonprofits. It is a subsidiary of Cerity Partners Equity Holding LLC.
Founded in 2009, Cerity has offices across the country in CA, CO, FL, IL, MA, MI, NY, OH, PA, TX, and VA. Per its Form ADV filed on April 17, 2023, the firm has 11,300+ accounts and $53.3B+ in total assets under management (AUM). Cerity is registered in all 50 states as well as the District of Columbia, Puerto Rico, and the U.S. Virgin Islands.
Financial Misconduct at Cerity Partners
RIAs are individuals or companies registered with federal and/or state regulatory agencies that provide financial advice. Only those RIAs with at least $100M in assets under management (AUM) are required to register with the Securities and Exchange Commission (SEC). Those RIAs that are not required to register with the SEC must usually be registered in the state in which their principal place of business is located.
Some RIAs also serve as a registered representative of a brokerage firm, enabling them to sell various financial products and make trades on behalf of their clients. Therefore, some RIAs are also registered broker-dealers.
As an RIA, Cerity owes its clients a fiduciary duty of care and loyalty to act in the best interest of their clients. If a client suffers losses as a result of negligent behavior or misconduct from an adviser, such as a misrepresentation or omission, then that RIA may be held legally responsible to repay the damages.
Some of Cerity’s advisors have previously been accused of various misconduct. For instance, in October 2021, a client brought a claim for $75,000 in damages against Cerity advisor, Jeffrey Charles Paladini, alleging that he recommended unsuitable investments. The dispute is still pending.
Wondering If You Have a Claim? Contact Our Firm Now!
Meyer Wilson reclaimed $350 million for the victims of investment fraud or misconduct. Our attorneys are experienced in going up against the largest registered investment advisers, such as Cerity Partners, and our track record affirms our resources and expertise. As an investor, you have a right to recover investments lost through unethical behavior or decisions made against your interests.
CIBC Private Wealth Advisors
Headquartered in Chicago, Illinois, CIBC Private Wealth Advisors (“CIBC”) is a registered investment adviser (RIA) providing investment and wealth strategies to a variety of clients, including individuals, businesses, nonprofits, and government entities.
Per its Form ADV filed on April 4, 2023, the firm has 35,500+ accounts and $51.1B+ in total assets under management (AUM). It is registered in all 50 states as well as the District of Columbia, Puerto Rico, and the U.S. Virgin Islands.
Financial Misconduct at CIBC Private Wealth Advisors
RIAs are individuals or companies registered with federal and/or state regulatory agencies that provide financial advice. Only those RIAs with at least $100M in assets under management (AUM) are required to register with the Securities and Exchange Commission (SEC). Those RIAs that are not required to register with the SEC must usually be registered in the state in which their principal place of business is located.
Some RIAs also serve as a registered representative of a brokerage firm, enabling them to sell various financial products and make trades on behalf of their clients. Therefore, some RIAs are also registered broker-dealers.
As an RIA, CIBC owes its clients a fiduciary duty of care and loyalty to act in the best interest of their clients. If a client suffers losses as a result of negligent behavior or misconduct from an adviser, such as a misrepresentation or omission, then that RIA may be held legally responsible to repay the damages.
According to the CIBC’s Form ADV, the firm disclosed that a self-regulatory organization or commodities exchange has previous found CIBC or one of its advisory affiliates to have been involved in a violation of its rules (other than a violation designated as “minor rule violation” under a plan approved by the SEC. Additionally, CIBC or one of its advisory affiliates is now the subject of a civil proceeding.
Some of CIBC’s advisors have previously been accused of misconduct. For instance, in June 2022, a customer brought a claim against CIBC advisor, Erin Schornack Dickes, alleging that Dickes and CIBC failed to execute certain investment strategy instructions that had been communicated by the client. The dispute was settled for $177,659.89.
Wondering If You Have a Claim? Contact Our Firm Now!
Meyer Wilson reclaimed $350 million for the victims of investment fraud or misconduct. Our attorneys are experienced in going up against the largest registered investment advisers, such as CIBC Private Wealth Advisors, and our track record affirms our resources and expertise. As an investor, you have a right to recover investments lost through unethical behavior or decisions made against your interests.
Creative Planning
Founded in 1983 by financial advisor, Peter Mallouk, Creative Planning is an independent wealth management firm and registered investment adviser (RIA). The firm, which is headquartered in Overland Park, Kansas, provides investment and wealth management, financial planning, retirement planning, and retirement services, among others. With 204,000+ accounts and $130B+ in total assets under management (AUM), the firm is one of the largest RIAs in the nation. The firm is registered in all 50 states as well as the District of Columbia, Puerto Rico, and the U.S. Virgin Islands.
Financial Misconduct at Creative Planning
RIAs are individuals or companies registered with federal and/or state regulatory agencies that provide financial advice. Only those RIAs with at least $100M in assets under management (AUM) are required to register with the Securities and Exchange Commission (SEC). Those RIAs that are not required to register with the SEC must usually be registered in the state in which their principal place of business is located.
Some RIAs also serve as a registered representative of a brokerage firm, enabling them to sell various financial products and make trades on behalf of their clients. Therefore, some RIAs are also registered broker-dealers.
As an RIA, Creative Planning owes its clients a fiduciary duty of care and loyalty to act in the best interest of their clients. If a client suffers losses as a result of negligent behavior or misconduct from an adviser, such as a misrepresentation or omission, then that RIA may be held legally responsible to repay the damages.
Per Creative Planning’s Form ADV, the firm has had to disclose that the firm itself or an advisory affiliate has been involved with a violation of SEC or CFTC regulations or statutes. It has also imposed a civil money penalty on itself or an advisory affiliate, or ordered itself or an advisory affiliate to cease and desist from an activity. Additionally, within the last 10 years, there has been an order against the firm or an advisory affiliate in connection with an investment-related activity.
Some of Creative Planning’s advisors have previously been accused of various misconduct. In September 2018, the United States Securities and Exchange Commission (SEC) initiated a claim against founder and advisor, Peter Alex Mallouk, alleging that he distributed hundreds of advertisements containing prohibited client testimonials; failed to enforce the firm’s code of ethics concerning advertisements; failed to keep accurate books and records; and failed to adopt and implement written policies and procedures reasonably designed to prevent violations of the Advisers Act. Mallouk was ordered to cease and desist his conduct and pay a fine of $50,000.
In May 2021, a client brought a claim against Creative Planning advisor, Brett Thomas Broyles, alleging negligence, negligent supervision, and breach of fiduciary duty. The dispute was settled for $12,500.
In July 2021, a claim was brought against advisor, Phillip Noland Attebery, for breach of fiduciary duty, negligence, fraud, and violations of the California Corporations Code and the Kansas Uniform Securities Act related to the sale of conservation easements. Damages were requested in the amount of $5M+ and the dispute is still pending.
In November 2021, a client brought a claim against advisor, John J Kang for $50,000, alleging that he failed to advise the client not to invest in a specific fund, which turned out to be fraudulent. The dispute is pending.
Wondering If You Have a Claim? Contact Our Firm Now!
Meyer Wilson reclaimed $350 million for the victims of investment fraud or misconduct. Our attorneys are experienced in going up against the largest registered investment advisers, such as Creative Planning, and our track record affirms our resources and expertise. As an investor, you have a right to recover investments lost through unethical behavior or decisions made against your interests.
Cresset Asset Management
Founded in 2017 by Eric Becker and Avy Stein, Cresset Asset Management (“Cresset”) is a registered investment adviser (RIA) providing investment advisory family office, and other services to individuals, families, and institutional clients. As of September 30, 2022, the firm, which is headquartered in Chicago, Illinois, had $30B+ in assets under management (AUM). Cresset is registered in 35 states as well as the District of Columbia.
Financial Misconduct at Cresset Asset Management
RIAs are individuals or companies registered with federal and/or state regulatory agencies that provide financial advice. Only those RIAs with at least $100M in assets under management (AUM) are required to register with the Securities and Exchange Commission (SEC). Those RIAs that are not required to register with the SEC must usually be registered in the state in which their principal place of business is located.
Some RIAs also serve as a registered representative of a brokerage firm, enabling them to sell various financial products and make trades on behalf of their clients. Therefore, some RIAs are also registered broker-dealers.
As an RIA, Cresset owes its clients a fiduciary duty of care and loyalty to act in the best interest of their clients. If a client suffers losses as a result of negligent behavior or misconduct from an adviser, such as a misrepresentation or omission, then that RIA may be held legally responsible to repay the damages.
Some of Cresset’s advisors have previously been accused of various misconduct. In November 2021, a claim was brought against then-advisor, Becky Lynn Mathre, alleging that violations of FINRA rules, negligence, misrepresentation, breach of fiduciary duty, and failure to supervise. The claimant has requested $1M in damages and the dispute is pending.
Wondering If You Have a Claim? Contact Our Firm Now!
Meyer Wilson reclaimed $350 million for the victims of investment fraud or misconduct. Our attorneys are experienced in going up against the largest registered investment advisers, such as Cresset Asset Management, and our track record affirms our resources and expertise. As an investor, you have a right to recover investments lost through unethical behavior or decisions made against your interests.
Dana Investment Advisors
Founded in 1980 by Mike Dana, Dana Investment Advisors (“DIA”) is a registered investment adviser (RIA) providing asset management services for corporations, endowments, foundations, family offices, and individuals. Per its Form ADV filed on March 20 2023, DIA has 3,200+ accounts $4.4B+ in total assets under management (AUM). The firm, which is headquartered in Waukesha, Wisconsin, is registered in all 50 states as well as the District of Columbia and Puerto Rico.
Financial Misconduct at Dana Investment Advisors
RIAs are individuals or companies registered with federal and/or state regulatory agencies that provide financial advice. Only those RIAs with at least $100M in assets under management (AUM) are required to register with the Securities and Exchange Commission (SEC). Those RIAs that are not required to register with the SEC must usually be registered in the state in which their principal place of business is located.
Some RIAs also serve as a registered representative of a brokerage firm, enabling them to sell various financial products and make trades on behalf of their clients. Therefore, some RIAs are also registered broker-dealers.
As an RIA, DIA owes its clients a fiduciary duty of care and loyalty to act in the best interest of their clients. If a client suffers losses as a result of negligent behavior or misconduct from an adviser, such as a misrepresentation or omission, then that RIA may be held legally responsible to repay the damages.
Wondering If You Have a Claim? Contact Our Firm Now!
Meyer Wilson reclaimed $350 million for the victims of investment fraud or misconduct. Our attorneys are experienced in going up against the largest registered investment advisers, such as Dana Investment Advisors, and our track record affirms our resources and expertise. As an investor, you have a right to recover investments lost through unethical behavior or decisions made against your interests.
Edgemoor Investment Advisors
Founded in 1999 by Thomas P. Meehan, Edgemoor Investment Advisors (“EIA”) is an independent registered investment adviser (RIA) providing investment management and financial planning services to individuals, families, trusts, retirement plans, non-profit organizations, and foundations. Per its Form ADV filed on March 24, 2023, EIA has 735 accounts and $969M+ in assets under management (AUM). The firm, which is headquartered in Bethesda, Maryland, is registered in 12 states as well as the District of Columbia.
Financial Misconduct at Edgemoor Investment Advisors
RIAs are individuals or companies registered with federal and/or state regulatory agencies that provide financial advice. Only those RIAs with at least $100M in assets under management (AUM) are required to register with the Securities and Exchange Commission (SEC). Those RIAs that are not required to register with the SEC must usually be registered in the state in which their principal place of business is located.
Some RIAs also serve as a registered representative of a brokerage firm, enabling them to sell various financial products and make trades on behalf of their clients. Therefore, some RIAs are also registered broker-dealers.
As an RIA, EIA owes its clients a fiduciary duty of care and loyalty to act in the best interest of their clients. If a client suffers losses as a result of negligent behavior or misconduct from an adviser, such as a misrepresentation or omission, then that RIA may be held legally responsible to repay the damages.
Wondering If You Have a Claim? Contact Our Firm Now!
Meyer Wilson reclaimed $350 million for the victims of investment fraud or misconduct. Our attorneys are experienced in going up against the largest registered investment advisers, such as Edgemoor Investment Advisors, and our track record affirms our resources and expertise. As an investor, you have a right to recover investments lost through unethical behavior or decisions made against your interests.
EP Wealth Advisors
In 1999, Brian Parker and Derek Holman founded Premier Financial Management, which was a precursor to EP Wealth Advisors. EP Wealth Advisors (“EPWA”) is an independent registered investment adviser (RIA) providing wealth management and financial planning services to businesses, non-profits, and individuals. Per it’s Form ADV filed on March 31, 2023, EPWA has 32,000+ accounts and $17B+ in assets under management (AUM). The firm, which is headquartered in Torrance, California, is registered in all 50 states as well as the District of Columbia and the U.S. Virgin Islands.
Financial Misconduct at EP Wealth Advisors
RIAs are individuals or companies registered with federal and/or state regulatory agencies that provide financial advice. Only those RIAs with at least $100M in assets under management (AUM) are required to register with the Securities and Exchange Commission (SEC). Those RIAs that are not required to register with the SEC must usually be registered in the state in which their principal place of business is located.
Some RIAs also serve as a registered representative of a brokerage firm, enabling them to sell various financial products and make trades on behalf of their clients. Therefore, some RIAs are also registered broker-dealers.
As an RIA, EPWA owes its clients a fiduciary duty of care and loyalty to act in the best interest of their clients. If a client suffers losses as a result of negligent behavior or misconduct from an adviser, such as a misrepresentation or omission, then that RIA may be held legally responsible to repay the damages.
In June 2009, EP Wealth Advisors agent, Brian Edward Parker, was the subject of a customer dispute. The claimant alleged that Parker failed to implement stop loss orders and causes of action include breach of fiduciary duty, breach of oral and written contract, negligence, and fraud by misrepresentation and omission. The claim was settled for $195,000.
Wondering If You Have a Claim? Contact Our Firm Now!
Meyer Wilson reclaimed $350 million for the victims of investment fraud or misconduct. Our attorneys are experienced in going up against the largest registered investment advisers, such as EP Wealth Advisors, and our track record affirms our resources and expertise. As an investor, you have a right to recover investments lost through unethical behavior or decisions made against your interests.
Fisher Investments
Founded in 1979 by Kenneth Fisher, Fisher Investments (“Fisher”) is an independent registered investment adviser (RIA) providing asset management and financial planning services to individual and institutional investors. Fisher, which has expanded to Canada, the UK, France, Spain, Italy, the Netherlands, Belgium, Demark, Norway, Sweden, Japan, and Australia, also has a couple of subsidiaries: Fisher Investments Europe and Grüner Fisher Investments GmbH.
As of March 31, 2023, Fisher and its subsidiaries manage $192B+ in assets. The firm, which is headquartered in Camas, Washington (and expected to move to Plano, Texas by June 2023), has approximately 5,200 employees and 130,000 clients (2023), and is registered in all 50 states as well as the District of Columbia, Puerto Rico, and the U.S. Virgin Islands.
Financial Misconduct at Fisher Investments
RIAs are individuals or companies registered with federal and/or state regulatory agencies that provide financial advice. Only those RIAs with at least $100M in assets under management (AUM) are required to register with the Securities and Exchange Commission (SEC). Those RIAs that are not required to register with the SEC must usually be registered in the state in which their principal place of business is located.
Some RIAs also serve as a registered representative of a brokerage firm, enabling them to sell various financial products and make trades on behalf of their clients. Therefore, some RIAs are also registered broker-dealers.
As an RIA, Fisher owes its clients a fiduciary duty of care and loyalty to act in the best interest of their clients. If a client suffers losses as a result of negligent behavior or misconduct from an adviser, such as a misrepresentation or omission, then that RIA may be held legally responsible to repay the damages.
Wondering If You Have a Claim? Contact Our Firm Now!
Meyer Wilson reclaimed $350 million for the victims of investment fraud or misconduct. Our attorneys are experienced in going up against the largest registered investment advisers, such as Fisher Investments, and our track record affirms our resources and expertise. As an investor, you have a right to recover investments lost through unethical behavior or decisions made against your interests.