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Brokerage Firms
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Library
Posts
Category: Aegis Capital Corp.
- Advaxis Investors with Losses: What You Need to Know
- Aegis Capital: Billion-Dollar Securities Fraud Exposed
- Aldeyra Therapeutics: Peril for Biotech Investors | Meyer Wilson Securities Attorneys
- Alset Inc: Navigating the Risks for Investors
- American DG Energy Risky Investment: Crucial Warnings for Investors
- Applied UV: Don’t Miss Key Investment Risks Uncovered
- Ascent Solar Technologies: Investment Pitfalls with Losses Looming
- Assure Neuromonitoring: Navigating Risks for Informed Investing | Investment Fraud Lawyer
- Atossa Genetics: Promising Breast Cancer Treatment, Risky Investment
- Avenue Therapeutics Risks Exposed: Information for Investors
- Avinger Losses: Navigating Medical Investment Challenges
- BiondVax Pharmaceuticals: High-Risk Opportunity Gone Wrong
- Bruush Oral Care: A Risky Venture for Investors?
- Bynd Cannasoft Enterprises: Risky Cannabis Investment Loss Concerns
- C3IS Inc: Risky Investment Losses Looming
- Cel-Sci Corporation Risks: Dilution Dangers Await Investors
- Cellectar Biosciences: Navigating Biotech Losses Strategically
- Cemtrex (CETX) Scandal: Unsuitable Investment Allegations
- ChromaDex: Risky Biotech Bet With Investor Losses
- Comstock Mining: High-Risk Gold Adventure Raises Eyebrows
- Cyngn Losses Mount: High-Risk Investment Falling Short
- DarioHealth Investors: Strategies for Mitigating Risks
- Dataram Corporation: Your Investment Risks Explained
- Hanryu Holdings’ Risky Bet: Investor Concerns Rising
- How to Recover Aegis Capital Losses? $5B Investor Alert
- Inspira Technologies’ Investor Losses: Risky Respiratory Device Under Scrutiny
- Investing in American CareSource Holdings: Crucial Risks Unveiled
- Navigating Blue Star Foods’ Risky Investment Minefield
- The Alkaline Water Company: Risky Investment Faces Multiple Challenges
- xPlore Technologies: Risky Broker Recommendations Under Scrutiny
Category: Brokerage Firms
- 7 Customers Issue Complaints Against Broker Katherine Greer Nishnic for Investment Misconduct
- 8 Customer Complaints Accuse Broker Ashley Woodard of Unsuitable Investment Recommendations
- Ameritas Broker James Anderson Permanently Barred From Securities Industry
- Another LPL Financial Advisor Charged With Defrauding Clients
- As Energy Markets Swoon, Many MLP Investors Suffer Huge Losses
- Beware of “Happiness Letters” From Your Brokerage Firm
- Boca Raton Broker Alan Applebaum Involved in Several Customer Disputes
- Brian Berger Accused of Stealing From Elderly Clients, Meyer Wilson Investigates
- Broker Dealer Financial Services Corp. Fined $75,000 for Unsuitable Sale of Leveraged or Inverse ETFs
- Brokerage Firms Will Have to Conduct Thorough Background Checks on New Hires
- California Securities America Broker Ronald J. Roach Pleads Guilty for Role in Massive Ponzi Scheme
- Can My Broker or Financial Advisor Trade in My Account Without My Permission?
- Cesar Omar Rodriguez Accused of Improperly Using Investor Funds
- Charlotte Guin Accused of Investment Misconduct, Meyer Wilson Investigates
- Citigroup Admits That Unregistered Employees Directed Trading Desk Activities
- Columbus Stockbroker Arrested for Stealing $500,000 From an Elderly Upper Arlington Resident, According to Police
- Coronavirus Causes Continued Losses For UBS Yes Investors: How To Recover Losses
- Criminal Charges Filed Against Former Ohio Broker Jerry Cicolani in Kgta Ponzi Scheme
- Did You Invest With Morgan Stanley Broker Shawn E. Good?
- Did Your Broker Recommend Ngl Energy Partners?
- Did Your Financial Advisor Recommend GDP Capital Funds?
- Fidelity Brokerage Services Accused of Misconduct
- Fidelity Investments Fined for Overcharging Customers
- Financial Planners: What Are They and Who Is Regulating Them?
- FINRA Continues Reg D Crackdown
- FINRA Fines Ameriprise Financial $850,000 for Supervisory Failures
- FINRA Fines Morgan Stanley for Improperly Supervising Investment Reps
- FINRA Fines Southwest Securities for Second Time This Month
- FINRA Fines Wells Fargo $500k Over Unsuitable Recommendations
- Firms Must Pay Close Attention to Brokers With History of Financial Problems
- Former Ameriprise Broker Ted Cadwallader Accused of Misconduct, Meyer Wilson Investigates
- Former Broker Jeffrey Alan Stewart Accused of Converting Customer Funds
- Former Broker Timothy Roth Accused of Misappropriating Millions of Dollars of Client Funds
- Former LPL Broker Walter Chao Accused of Misconduct, Meyer Wilson Investigates
- Former Merrill Lynch Broker Thomas Buck Barred by FINRA
- Former Merrill Lynch Broker Thomas J. Buck Faces Several Investor Complaints
- Former Millennium Capital Exchange CEO Pleads Guilty for Role in Ponzi Scheme
- Former NYLIFE Broker Accused of Participating in Outside Business Activity
- Former Ohio Broker Bryan Carnahan Faces Misconduct Allegations
- Former Ohio Financial Advisor Sam Aziz Loses Securities License For Excessive Trading
- Former RBS Securities Broker Matthew Katke Pleads Guilty to Multimillion-Dollar Securities Fraud Scheme
- Former UBS Advisor Ricardo Turlan Terminated Over Allegations of Unauthorized Trading, Unsuitability
- How Investment Fees Can Impact Your Portfolio
- How Investors Can Protect Themselves From Broker Fraud and Broker Bankruptcy
- Investigation: Meyer Wilson Receiving Calls About Broker Murray Todd Peterson Of Roseville, California
- J.P. Morgan Fined $500k by FINRA
- J.P. Morgan Securities Ordered to Pay $485,000 to Clients
- LPL Financial Corp. Fined $220k in March
- Malachite Capital LP Being Investigated For Investment Losses
- Massachusetts Charges GPB Capital Holdings With Securities Fraud
- Merrill Lynch Fined $7 Million by FINRA
- Merrill Lynch, Pierce, Fenner & Smith Inc. Fined $42 Million for Misleading Customers
- Meyer Wilson Files Finra Arbitration Against Raymond James Relating to Broker Jeffrey Ingros
- Meyer Wilson Investigates Accusations Involving Glenn A. Moffitt
- Meyer Wilson Investigates Allegations Against Jeffrey Feldman in Connection With $15m Scam
- Meyer Wilson Investigates Allegations of Malcolm Babin Misappropriating Funds
- Meyer Wilson Investigates Barred Broker Gerald Roger Dewes
- Meyer Wilson Investigates Barry Hartman Formerly of FSC Securities
- Meyer Wilson Investigates Cincinnati Broker Matthew Roger Quinn
- Meyer Wilson Investigates Claims Against Newbridge Securities Broker Scott S. Brooks for the Sale of GBP Capital Funds
- Meyer Wilson Investigates Former Cape Securities Inc. Broker Paul Elvidge
- Meyer Wilson Investigates Former Merrill Lynch Broker Roderick Yzaguirre
- Meyer Wilson Investigates Misconduct Allegations Facing Former LPL Broker Julius Kenney
- Meyer Wilson Investigates Possible Supervisory Failures of J.P. Morgan Securities LLC
- Meyer Wilson Investigating Allegations Involving Former Wells Fargo Broker Brent W. Burgesser
- Meyer Wilson Investigating Investor Losses in Business Development Companies
- Meyer Wilson Is Representing Victims Of The Optionsellers.com Catastrophic Loss Event
- Morgan Stanley Fined $2 Million Over Multiple Violations
- Morgan Stanley Loses Appeal of $3.3 Million Finra Arbitration Award
- Morgan Stanley to Pay $2.4m Over Former Employee’s Trades
- Nationwide to Pay $8 Million Over Variable Annuity Failures
- Negligence Costs Metlife Securities $25 Million
- New Jersey Broker Andrew F. Perry Faces Investor Complaints
- News: FSC Securities Corp. To Pay $1.28m Arbitration Award in the Case of Aubrey Lee Price
- News: UBS Fined $750,000 for Failure to Supervise
- Private Placement Investments in the Hot Seat
- Recover Your Losses in GWG Holdings, Inc. with Meyer Wilson
- Say, What?!? Brokerage Firms Pushing Regulators to End On-Site Inspections
- Scottrade Fined $300,000 by Regulators
- SEC Accuses Former Broker William Quigley & Brothers of Fraudulent Offering Scheme
- SEC Charges Texas-Based Brokerage Firm With Violating Customer Protection Rules
- SEC Fines Raymond James and Robert W. Baird & Co. $850,000 Over Compliance Failures
- Six Men Indicted in Nevada Over Fraudulent Investments Promoted Through Malom Group
- Sylvester King Jr. Faces Selling Away Accusations Involving Startup Company GVC
- The Aftermath of a Ponzi Scheme Collapse: Liability of Brokerage Firms
- Unpaid Judgments and Investor Protection – The Brokerage Insurance Problem
- Update on Misconduct Claims Against Vito Balsamo
- VALIC Financial Advisors, Inc. Fined $1.75 Million
- Warning From Former Broker About Variable Annuities
- Wells Fargo Broker Aaron R. Parthemer Accused of Selling Away
Category: Common Investment Abuses
- “CHiPs” Are Down for Larry Wilcox Who’s Accused of Securities Fraud
- $50 Million Ponzi Scheme in Southwest Ohio
- 15 People, 19 Entities Charged in Microcap Stock Schemes
- AARP Released Results of Study on Differences Between Victims of Fraud and General Population
- Aegis Capital Corp. & Representatives Implicated in Microcap Stock Scheme
- Allegations Involving Former Broker John C. Hanson Investigated by Meyer Wilson
- Apostelos Couple Pleads “Not Guilty” in $70 Million Ponzi Scheme Case
- Are Brokerages and Advisors Doing Enough to Protect Seniors?
- Are the Sales of Private Placements an Indication of Brokers Gone Bad?
- As I Predicted Last Year, Oscar Villarreal’s WW Capital Partners Fund Appears to Be a Ponzi Scheme
- Avoiding Scams During the Holidays: Part One of a Six-Part Meyer Wilson Blog Series
- Been Scammed? Your Human Nature May Be Partially to Blame
- Beware of Trusting Financial Advisors Based on Credentials Alone
- Bitcoin: The Latest Trend in Ponzi Schemes
- BMO Harris Offers to Settle for $16m in Connection With Minnesota Ponzi Scheme
- Brightscope Publishes Financial Adviser Disciplinary Actions on New Website
- Broker Ismail Elmas Pleads Guilty to Wire Fraud
- Brokerage Firms on the Hook for Missed Breakpoint Discounts
- Brokers’ Fees and How They Affect You
- California Man Steals $300,000 From Bay Area Investors
- Charles Schwab & Co., Inc. Fined by FINRA for Failure to Detect and Report Suspicious Activity
- Chicago Investment Advisor Umesh Tandon Charged for Investment Fraud
- Choosing the Right Investment Advisor
- Claude Darrell Mcdougal Gets 6+ Years for Securities Fraud
- Common “Red-flag” Sales Pitches
- Criminal Charges Filed Against Former Ohio Broker Jerry Cicolani in Kgta Ponzi Scheme
- Defrauding Investors by Inflating Fund Performance
- Detroit Money Manager Bluestein Barred From Securities Industry
- Did Your Broker Engage in Unsuitable Options Trading on Your Behalf?
- E.S. Financial to Pay $1 Million Over Anti-Money Laundering Lapses
- FBI: Main White Collar Crime in Montana is Securities Fraud
- Financial Predators Turn to Insurance Products to Target the Elderly
- FINRA Cautions Against Stock-Based Loan Programs
- FINRA Fines Morgan Stanley for Improperly Supervising Investment Reps
- FINRA Investor Alert: All-or-Nothing Binary Options Frequently Fraudulent
- FINRA Pushes along Proposals to Crack down on Unpaid Arbitration Awards and High-Risk Brokers
- First of Three People Charged With Investment Fraud Pleads Guilty
- Five Tips to Help You Avoid Investment Fraud
- Former Allstate Broker Philip Leonard Grasso Accused of Misappropriating Funds From Elderly Investors
- Former Broker Dorian Garcia Pleads Guilty for Role in $7m Investment Fraud
- Former Broker Evan Kochav of Jersey City Indicted & Charged With Stealing $561k From Investors
- Former Broker Jonathan Greenfield Accused of Misconduct Involving GWG Renewable Secured Debentures
- Former Broker Timothy Roth Accused of Misappropriating Millions of Dollars of Client Funds
- Former Cambridge Broker Ralph Savoie Accused of Misconduct, Meyer Wilson Investigates
- Former Edward Jones Advisor Jason W. Cox Accused of Stealing Money From Disabled Woman
- Former JP Morgan Securities Broker Sam M. Stull Accused of Misconduct by Regulators
- Former LPL Broker Charles Caleb Fackrell Fired for Selling Away, Conversion of Customer Funds
- Former Millennium Capital Exchange CEO Pleads Guilty for Role in Ponzi Scheme
- Former National Securities Corp. Broker Zachary T. Bader Accused of Misconduct, Meyer Wilson Investigates
- Former National Securities Corporation Broker Vito James Balsamo Accused of Misconduct
- Former NBA Trainer Stephen Gordon Gets 50 Months for Fraud
- Former NFL Player and Former Bank Exec Arrested for Securities Fraud
- Former Ohio Broker Bryan Carnahan Faces Misconduct Allegations
- Former Ohio State Representative Peter Beck Found Guilty on 13 Counts
- Former OneAmerica Broker Brantly Chavis Accused of Misconduct, Meyer Wilson Investigates
- Former PNC Investments and Wells Fargo Broker Philip Earl Brunson Facing Misconduct Allegations
- Former Pruco Broker Ronald Dunn Accused of Converting Customer Funds
- Former Stifel, Nicolas & Company, Inc. Broker Accused of Misconduct
- Former Stockbroker Micah C. Wilson Charged With Fraud, Meyer Wilson Investigates
- Former Wells Fargo Broker Douglas J. Melzer Accused of Selling Unapproved Outside Investments
- Four Ohio Men Indicted in $7m Investment Scheme
- High Costs of Alternative Investments and Managed Mutual Funds Drive Broker Paydays
- How Does FINRA Define High-risk Brokers?
- How to Avoid Being Conned by a Fake Investment Adviser
- If You Want to Avoid Investment Fraud, Watch Out for These Red Flags
- Illinois Man Accused of Operating $12 Million Ponzi Scheme
- Indianapolis Advisor Sentenced to 10 Years in Federal Prison for $1.35 Million Securities Fraud
- Investigate Before You Invest
- Investment Fraud Where You Least Expect It
- Investment Scam Leaves New Jersey Woman Broke
- Investors Beware of Structured Products
- Investors Should Be Leary of Forex Trading Promoters
- Investors Warned Against Structured Products
- Investors Warned to Weigh the Risks of Peer-to-Peer Loans Before Investing
- Ismail Elmas Pleads Guilty to Wire Fraud
- Izak Zirk De Maison Accused of $27 Million in Investor Losses, Meyer Wilson Investigates
- John Steven Blount Pleads Guilty for Role in $5.8m Ponzi Scheme
- Lee Michael Harrison Indicted on Three Counts of Wire Fraud
- Lending Company and Brokerage Firm Charged With Fraud
- Matthew A. Bell, Craig L. Josephberg Accused of Involvement in Pump & Dump Scheme
- Matthew J. Davis: Meyer Wilson Investigates Claims Involving Former Oneamerica Broker
- Meyer Wilson Attorneys Investigate Allegations Involving Former David Lerner Broker Michael Thomas Lombardo
- Meyer Wilson Currently Investigating Allegations Against Former Broker Walter Francis Grenda, Jr.
- Meyer Wilson Investigates Accusations Involving Broker Marc W. Evans
- Meyer Wilson Investigates Accusations Involving Glenn A. Moffitt
- Meyer Wilson Investigates Charges Against Michael J. Oppenheim for Stealing $20 Million From Clients
- Meyer Wilson Investigates Dallas Broker Charged With Fraud
- Meyer Wilson Investigates Former Securities Service Network Broker Dale Isaak
- Meyer Wilson Investigates Jerry Irvin Chancy Over Selling Unapproved Investments to Customers
- Meyer Wilson Investigates Misconduct Allegations Facing Former LPL Broker Julius Kenney
- Meyer Wilson Investigates Misconduct Allegations Facing Larry Dearman of Oklahoma
- Meyer Wilson Investigates Stockbroker Richard Gomez
- Meyer Wilson Investigating Alleged Misconduct by Former LPL Broker Raymond D. Schmidt
- Meyer Wilson Investigating Claims Involving Former Minnesota Broker Howard Richards
- Meyer Wilson Investigating Investor Losses in Business Development Companies
- Meyer Wilson Investigation: Former John Thomas Financial Broker Leonid Yurovsky
- Meyer Wilson Law Firm Investigating Claims Involving Former Stockbroker Barkley J. Lundy, Jr.
- Molly K. Angelo Allegedly Converted Customer Funds: Meyer Wilson Investigates
- Money Magazine Calls Index Annuities a Safety Trap
- Nationwide to Pay $8 Million Over Variable Annuity Failures
- NBA Star Tim Duncan Allegedly Loses $25 Million Due to Financial Adviser Misconduct
- NE Ohio Investment Advisor Accused of $7 Million Ponzi Scheme
- Negligent Stock Trading Platforms: Protect Your Investments
- New Details Emerge in Dayton, Ohio Ponzi Scheme Case
- News: FSC Securities Corp. To Pay $1.28m Arbitration Award in the Case of Aubrey Lee Price
- News: George Bussanich Accused of Defrauding Investors
- News: ITG Charged With Working a Secret Trading Desk and Exploiting Subscriber Information
- News: SEC Announces Charges Against Benjamin Wey and New York Global Group
- News: Two Men Charged With Conducting Stock Fraud
- Non-Profits and Charities Burned by Investment Fraud
- Notice to Investors: Watch Out for Scams That Target Immigrants
- Ohio Division of Securities Releases New Division Orders and Enforcement Actions
- Ohio Investment Fraud Law Firm Continues Investigation Into Potential Recovery for Victims of Brenda Ashcraft’s Alleged Investment Fraud
- Ohio Ponzi-Schemer Glen Galemmo Says ‘Fear of Failure’ Led Him to Steal From His Investors
- Ohio Realtor Brenda Ashcraft Pleads Guilty to Defrauding Investors Out of $15 Million
- Pamela Hass Charged With 10 Counts of Wire Fraud, 11 Counts of Money Laundering
- Philadelphia Mortgage Scheme Leads to 4 Indictments
- Ponzi Scheme Fraudsters Drawn to Virtual Currencies
- Ponzi Scheme Suspected in West Virginia
- Ponzi Schemes Continue to Destroy the Financial Lives of Americans Every Day
- Ponzi’s Biographer Shares Tips on How to Avoid Ponzi Schemes
- Proposed Law Could Mean Greater Recovery for Ponzi Scheme Victims
- Protect Your Hard-Earned Money by Learning How Boiler Room Scams Work
- Protecting the Elderly From Broker Fraud
- Religious Broadcaster Charged in Investment Scam
- Richard L. Thompson Criminally Charged in $2 Million Ponzi Scheme Case
- SEC Accuses Atlanta Marketing Company Zhunrize and CEO Jeff Pan of Running a $100m Pyramid Scheme
- SEC Accuses Former Broker William Quigley & Brothers of Fraudulent Offering Scheme
- SEC Alleges Owner/Manager of BC Capital Group Hid More Than $100m in Investment Losses From Clients
- SEC Bars Former Broker Larry Dearman From Securities Industry
- SEC Charges California and Illinois Based Hedge Fund Managers With Investment Fraud
- SEC Charges New Jersey Man With Defrauding Small Businesses
- SEC Charges Ohio-Based Ira Provider in Connection With Ponzi Scheme
- SEC Files Pyramid Scheme Charges Against Internet Marketing Company Eadgear Inc.
- SEC Issues Investor Alert on Affinity Fraud
- SEC Warns Investors of Scammers Impersonating Government Officials
- Seven Out of Ten Investors Admit They Seldom or Never Read Variable Annuities Prospectuses
- Six Men Indicted in Nevada Over Fraudulent Investments Promoted Through Malom Group
- Slimy Sales Practices in the Annuity Industry: Kickbacks and Perks Can Often Result in Unsuitable Investment Recommendations
- Stay Alert for Stock Fraud Following Hurricane Harvey
- Study Reveals 90 Percent of Expungements Are Granted in Stockbroker Arbitration Cases
- The 10 Most Common Investment Scams
- The SEC Cracks Down on Penny-Stock Fraud
- There’s Never a “Free Lunch”
- There’s No Such Thing as a “Guaranteed” Investment
- Tips to Protect Your Elderly Loved Ones from Financial Exploitation
- Unpaid Judgments and Investor Protection – The Brokerage Insurance Problem
- Unregistered Broker Fraud May Be on the Rise, Reports USA Today
- Update on Former MACC Broker Walter Francis Grenda, Jr.
- Update on Misconduct Claims Against Vito Balsamo
- Variable Annuities – Very Expensive Mutual Funds That Are Nearly Impossible to Understand
- Warning From Former Broker About Variable Annuities
- Warning to Investment Fraud Victims: Be Wary of “Free” Offers for Help by Non-Lawyers
- What Investors Should Know About Preferred Stocks
- What You Need to Know About Customer Advisory Centers
- When Your Advisor Is Too Close for Comfort
- Why We Fall – The Psychology of “Yes”
- Wife Is Liable to Victims After Ponzi-Schemer Husband Commits Suicide
- Wilfred Azar Pleads Guilty in $7 Million Bond Scheme
Category: Common Investment Misconduct Claims
- $50 Million Ponzi Scheme in Southwest Ohio
- Aaron Graham: Utah Advisor Pays $1.95M in Misconduct Settlement
- Allison Terlip Faces $817K Unsuitable Investment Allegations
- Avoiding Investment Fraud: Is That High-yield Product Right for You?
- Avoiding Scams During the Holidays: Part One of a Six-Part Meyer Wilson Blog Series
- Being Thankful at Thanksgiving, an Investment Fraud Attorney’s Reflection
- Beware of Trusting Financial Advisors Based on Credentials Alone
- Blackstone REIT Losses? Our Lawyers Investigate Fraud
- BMO Harris Offers to Settle for $16m in Connection With Minnesota Ponzi Scheme
- Broker Ismail Elmas Pleads Guilty to Wire Fraud
- Cesar Omar Rodriguez Accused of Improperly Using Investor Funds
- Charges Brought Against Former Stockbroker
- Charles Schwab & Co., Inc. Fined by FINRA for Failure to Detect and Report Suspicious Activity
- Chaska Man Faces Fraud Charges in $8 Million Ponzi Scheme
- Chicago Area Man Accused of Ponzi Scheme
- Chimera Energy Suspended by the Securities and Exchange Commission
- Citigroup Admits That Unregistered Employees Directed Trading Desk Activities
- Claude Darrell Mcdougal Gets 6+ Years for Securities Fraud
- Columbus Stockbroker Arrested for Stealing $500,000 From an Elderly Upper Arlington Resident, According to Police
- Criminal Charges Filed Against Former Ohio Broker Jerry Cicolani in Kgta Ponzi Scheme
- David Williams Pleads Guilty to $4 Million Real Estate Investment Scam
- Douglas E. Cowgill Pleads Guilty to Fraud
- Eight Ways Women Can Protect Themselves From Financial Scams
- Ex-Florida Lawyer Receives 50-year Prison Sentence for Ponzi Scheme
- Exchange-Traded Notes Hold Unpleasant Surprises, Warns FINRA
- Financial Fraud / Elder Abuse Impact Study Released by Metlife Mature Market Institute
- FINRA Fines for ETFs
- FINRA Fines Morgan Stanley for Improperly Supervising Investment Reps
- FINRA Fines Wells Fargo $500k Over Unsuitable Recommendations
- FINRA Investor Alert: All-or-Nothing Binary Options Frequently Fraudulent
- First of Three People Charged With Investment Fraud Pleads Guilty
- Former Allstate Broker Philip Leonard Grasso Accused of Misappropriating Funds From Elderly Investors
- Former Ameriprise Broker Ted Cadwallader Accused of Misconduct, Meyer Wilson Investigates
- Former Broker Dorian Garcia Pleads Guilty for Role in $7m Investment Fraud
- Former Broker Evan Kochav of Jersey City Indicted & Charged With Stealing $561k From Investors
- Former Broker Jeffrey Alan Stewart Accused of Converting Customer Funds
- Former Broker Jonathan Greenfield Accused of Misconduct Involving GWG Renewable Secured Debentures
- Former Broker Joshua Ray Abernathy Charged With $1.3m Fraud, Meyer Wilson Investigates
- Former Cambridge Broker Ralph Savoie Accused of Misconduct, Meyer Wilson Investigates
- Former Edward Jones Advisor Jason W. Cox Accused of Stealing Money From Disabled Woman
- Former JP Morgan Securities Broker Sam M. Stull Accused of Misconduct by Regulators
- Former LPL Broker Walter Chao Accused of Misconduct, Meyer Wilson Investigates
- Former Merrill Lynch Broker Thomas Buck Barred by FINRA
- Former Millennium Capital Exchange CEO Pleads Guilty for Role in Ponzi Scheme
- Former National Securities Corporation Broker Vito James Balsamo Accused of Misconduct
- Former NYLIFE Broker Accused of Participating in Outside Business Activity
- Former OneAmerica Broker Brantly Chavis Accused of Misconduct, Meyer Wilson Investigates
- Former PNC Investments and Wells Fargo Broker Philip Earl Brunson Facing Misconduct Allegations
- Former Pruco Broker Ronald Dunn Accused of Converting Customer Funds
- Former Stifel, Nicolas & Company, Inc. Broker Accused of Misconduct
- Former Stockbroker Micah C. Wilson Charged With Fraud, Meyer Wilson Investigates
- Free NASAA Webinar Helps Investors Understand Risks of IRAs, What to Do if an Investor Suspects Investment Fraud
- Frisco Man Pleads Guilty to $3 Million Ponzi Scheme
- Gatta Sentenced for Alleged Jersey Shore Ponzi Scheme
- Glen Galemmo and Galemmo Investment Group – Yet Another Ohio-Based Ponzi Scheme?
- Gregory J. Buchholz Faces Sentencing for $1.37 Million in Alleged Financial Fraud
- Hedge Funds, Risk Tolerance, and Stockbroker Fraud
- High Costs of Alternative Investments and Managed Mutual Funds Drive Broker Paydays
- How Does Stockbroker Fraud Work?
- How to Get Your Money Back if You Invested With Michael Oppenheim
- Indianapolis Advisor Sentenced to 10 Years in Federal Prison for $1.35 Million Securities Fraud
- Insurance Agents Warned as Jail Time Results From Annuity Case Over Indexed Annuities Sold to Elderly
- Investigate Before You Invest
- Investigating Potential Claims Against Jeffrey T. Kennedy of Center Street Securities
- Investment Fraud Results in 43 Federal Counts
- Investment Fraud Where You Least Expect It
- Investment Scheme Involving $30 Million Leads to Indictment of Two
- Investors in Alleged BBC Equities Ponzi Scam May Not Get Their Money Back
- Investors Should Be Leary of Forex Trading Promoters
- Izak Zirk De Maison Accused of $27 Million in Investor Losses, Meyer Wilson Investigates
- J.P. Morgan Chase Sued for Petters Ponzi Scheme
- J.P. Morgan Fined $500k by FINRA
- J.P. Morgan Securities Ordered to Pay $485,000 to Clients
- Joe Zheng: Norco Advisor Faces $1.9M Complaint in 2024
- John Bullar to Pay $6.2 Million in Restitution for Ponzi Scheme
- John Elway Among Ponzi Scheme Victims
- John Steven Blount Pleads Guilty for Role in $5.8m Ponzi Scheme
- Largest Alleged Ponzi Scheme Ever Prosecuted in WA Brews in Seattle
- Lauritsen Sentenced, Ordered to Pay Restitution in Connection With Alleged Financial Fraud in Religious Circle
- Lending Company and Brokerage Firm Charged With Fraud
- Lori Ann Artzberger Barred From Securities Industry
- LPL Broker David J. Hackney Fired Over Churning Allegations, Meyer Wilson Investigates
- Marcello Trebitsch Pleads Guilty to Defrauding Investors Out of Nearly $6m
- Mark Grueninger: UBS Advisor Faces $1.8M Investor Dispute
- Matthew A. Bell, Craig L. Josephberg Accused of Involvement in Pump & Dump Scheme
- Matthew J. Davis: Meyer Wilson Investigates Claims Involving Former Oneamerica Broker
- Maui Businessman Pleads Guilty to 20-year Alleged Ponzi Scheme
- Meyer Wilson Attorneys Investigate Allegations Involving Former David Lerner Broker Michael Thomas Lombardo
- Meyer Wilson Attorneys Investigate Allegations Involving Former Stockbroker Derek Weaver
- Meyer Wilson Attorneys Investigate Allegations Involving Greg Campbell
- Meyer Wilson Currently Investigating Allegations Against Former Broker Walter Francis Grenda, Jr.
- Meyer Wilson Investigates Allegations Against Broker Joseph Schroeder
- Meyer Wilson Investigates Allegations Against Jeffrey Feldman in Connection With $15m Scam
- Meyer Wilson Investigates Barry Hartman Formerly of FSC Securities
- Meyer Wilson Investigates Charges Against Michael J. Oppenheim for Stealing $20 Million From Clients
- Meyer Wilson Investigates Former Cape Securities Inc. Broker Paul Elvidge
- Meyer Wilson Investigates Former Merrill Lynch Broker Roderick Yzaguirre
- Meyer Wilson Investigates Former Securities Service Network Broker Dale Isaak
- Meyer Wilson Investigates Former Voya / ING Financial Broker Giovanni L. Acevedo
- Meyer Wilson Investigates Jerry Irvin Chancy Over Selling Unapproved Investments to Customers
- Meyer Wilson Investigates Misconduct Allegations Facing Larry Dearman of Oklahoma
- Meyer Wilson Investigates Possible Supervisory Failures of J.P. Morgan Securities LLC
- Meyer Wilson Investigating Allegations Surrounding NFP Securities Broker Robert Regan
- Meyer Wilson Investigating Alleged Misconduct by Former LPL Broker Raymond D. Schmidt
- Meyer Wilson Investigating Claims Involving Former Minnesota Broker Howard Richards
- Meyer Wilson Investigation: Former John Thomas Financial Broker Leonid Yurovsky
- Meyer Wilson Law Firm Investigating Claims Involving Former Stockbroker Barkley J. Lundy, Jr.
- Meyer Wilson Law Firm Investigating Claims Involving Stockbroker Kirsten Flynn Hawkins
- Michael Willard Korson Investigated Over Selling Away Claims
- Molly K. Angelo Allegedly Converted Customer Funds: Meyer Wilson Investigates
- Morgan Stanley to Pay $2.4m Over Former Employee’s Trades
- Municipal Bonds Should Signify Caution to Investors
- NBA Star Tim Duncan Allegedly Loses $25 Million Due to Financial Adviser Misconduct
- New Details Emerge in Dayton, Ohio Ponzi Scheme Case
- New List of Top Investor Threats Released
- New Ponzi Scheme Uncovered by Financial Fraud Enforcement Task Force
- News: Guggenheim Partners Investment Management Agrees to Pay Fine for Violation of Disclosure to Clients
- News: SEC Announces Charges Against Benjamin Wey and New York Global Group
- News: Two Men Charged With Conducting Stock Fraud
- News: UBS Fined $750,000 for Failure to Supervise
- North Carolina Financial Services Executives Face FINRA Over Investment Misconduct
- Northern Colorado Ponzi Scheme Involves $3.5 Million
- Ohio Financial Advisor Receives 17.5-year Prison Sentence for Fraud
- Ohio Investment Fraud Law Firm Continues Investigation Into Potential Recovery for Victims of Brenda Ashcraft’s Alleged Investment Fraud
- Ponzi Scheme Suspected in West Virginia
- Ponzi Scheme Targeting Spanish, Portuguese Speakers Stopped by SEC
- Protecting the Elderly From Broker Fraud
- Regulators’ Crackdown Over Alternative Investments Continues
- Reinholdt Found Guilty of Alleged Colorado and Arizona Ponzi
- REITs Losses Attract Attention From FINRA
- Richard L. Thompson Criminally Charged in $2 Million Ponzi Scheme Case
- Ricki Silverman: Morgan Stanley Advisor Faces Fraud Allegations
- Sacramento Man Arrested for $11 Million Ponzi Scheme
- Santa Ana Man Faces Prison Following Ponzi Scheme
- Scottrade Fined $300,000 by Regulators
- SEC Alleges Owner/Manager of BC Capital Group Hid More Than $100m in Investment Losses From Clients
- SEC Bars Financial Advisor Over Alleged Ponzi Scheme
- SEC Bars Former Broker Larry Dearman From Securities Industry
- SEC Charges New Jersey Man With Defrauding Small Businesses
- Senior VP of Capital Financial Planning Charged in $1m Ponzi Scheme
- Short Term Vs. Long Term Investments: What Investors Should Know
- Slimy Sales Practices in the Annuity Industry: Kickbacks and Perks Can Often Result in Unsuitable Investment Recommendations
- Stockbroker Misconduct, Disclosure and Misrepresentation
- Sylvester King Jr. Faces Selling Away Accusations Involving Startup Company GVC
- Taking Steps to Protect Yourself From Structured Product Fraud
- Texas Man Indicted in $17 Million Securities Fraud Case
- The 10 Most Common Investment Scams
- The Relationship Between Stockbroker Misconduct and Stockbroker Duties
- The Risks of Investing on Margin
- The SEC Indicts Former Nomura Traders With Fraud, Meyer Wilson Investigating
- Theodore Byrer Misconduct: Meyer Wilson Representing Victims of Former Morgan Stanley Broker
- There’s No Such Thing as a “Guaranteed” Investment
- Three Bay Area Men Have Been Charged in Fraud Case
- Three Men Charged in Oregon Hedge Fund Fraud
- Three Scams to Keep an Eye Out For
- Three Things You Should Know About Investment Risk and Suitability
- Tim Van Dyken: Ameriprise Advisor Faces Serious Misconduct Allegations
- Tom Hartfield’s $400K Client Dispute Claim
- Unpaid Judgments and Investor Protection – The Brokerage Insurance Problem
- Unregistered Broker Fraud May Be on the Rise, Reports USA Today
- Unregulated Structured Notes Could Be the Next Investment Bubble
- Update on Former MACC Broker Walter Francis Grenda, Jr.
- Warning to Investors: Watch Out for High-Yield CD Offers
- Wilfred Azar Pleads Guilty in $7 Million Bond Scheme
- Xue Heu Sentenced for $1m Investment Fraud Schemes
Category: Cover Your Assets
- 5 Steps to Spot an Investment Scam and the Process of Hiring a Securities Attorney
- An Aging Population and the Dangers of Elder Financial Abuse
- Congress Votes in the Middle of the Night to Give Big Banks Immunity from Lawsuits
- Did Ivan Cen Sell You Risky, Non-Traded Real Estate Securities?
- Did Mark Former Make Unauthorized Trades or Recommend Unsuitable Investments on Your Account?
- Did You Have an Account Managed by Kevin McCallum of LPL Financial?
- Did You Lose Money in an Account Managed by Andrew Marschall?
- Did You Suffer Investment Losses While Working With Arkadios Capital Broker Kevin Rainwater?
- Does the Bull Market Cover Up Stockbroker Misconduct?
- How Hedge Funds Are Ripping off Public Workers Relying on Pension Funds
- Meyer Wilson Investigating Potential Legal Claims Against Worden Capital Management Relating to Excessive and Unsuitable Trading by Stockbroker John Lopinto
- Meyer Wilson Investigating Potential Legal Claims Involving Financial Advisor Richard Braverman of Geneos Wealth Management
- Meyer Wilson Is Taking Calls From Clients of David N. Adams
- Meyer Wilson Representing Investors in Claims Involving Improper Reit Sales and Other Unsuitable Investments Sold by Cetera Advisors
- Retirement Savings, the Great Recession, Hedge Funds and “The Big Short”
- The Cost of Investment Fraud
- The Investment Fraud Attorneys at Meyer Wilson Are Investigating Claims and Speaking to Victims of Philip Incorvia’s Alleged Ponzi Scheme
- The Stock Market Goes up and down, but Investment Fraud Is Always Lurking
- What Richard Cordray Leaving the Consumer Financial Protection Bureau Means for You
- What Stock Market Volatility Means for Main Street Investors
- Woodbridge Mortgage Funds and the Importance of Reviewing Elderly Relatives’ Investments
Category: Current Investigations
- $5 Million Ponzi Scheme Defrauds Investors
- 1st Global Capital and 1st West Capital File for Bankruptcy Amid SEC Fraud Investigation
- 7 Customers Issue Complaints Against Broker Katherine Greer Nishnic for Investment Misconduct
- A Dozen Firms Fined $14.4 Million After Failing to Protect Records From Alteration
- Abraham Heimann Accused of Investment Unsuitability Among Other Types of Misconduct
- Advisor Joseph Desapio Suspended by FINRA Over Reg BI Violations
- Advisor Shane DeSherlia Faces Unsuitability Complaints
- Aegis Capital Corp. & Representatives Implicated in Microcap Stock Scheme
- Allegations Involving Former Broker John C. Hanson Investigated by Meyer Wilson
- Allegations of Fraud, Money Laundering Lands Former Ameriprise Advisor Li Lin Hsu Behind Bars
- Alonza Barnett Jr. Barred by Finra After Client Claims Breach of Fiduciary Duty
- Andrew Caspersen Pleads Guilty to Defrauding Investors
- Andrew Egber Barred: Wells Fargo Advisor Faces Allegations
- Anthony Vincent Ferrone Banned From Securities Industry Due to Unsuitable Unit Investment Trusts
- Are You Concerned about Your Investment in CNL Healthcare Properties?
- Are You Wrapped Up in an Unsuitable Wrap-fee Program?
- Atlantic Asset Management, LLC Facing Fraud Charges
- Barred Broker Jason Figueroa Has Been Accused of Fraud, Unsuitable Investments and Negligence
- Bobb Meckenstock: Veteran Advisor Faces Ponzi Scheme Claims
- Boca Raton Broker Alan Applebaum Involved in Several Customer Disputes
- Borrowing Money From Clients Gets Former Wells Fargo Broker Shane Springman Discharged
- Boston Broker Cornelius Peterson Fired for Allegations of Misappropriating Client Assets
- Boston Broker David Manor Resigns From Wells Fargo, Faces FINRA Complaint
- Brian Berger Accused of Stealing From Elderly Clients, Meyer Wilson Investigates
- Broker Alexander Arango Allegedly Sold Unsuitable Investments
- Broker Anthony Cross Alleged Unauthorized Trades Prompt FINRA Action
- Broker Brian Clark Investigated for Fraud, Unauthorized Trading, & More
- Broker Brian Royster Terminated for Allegedly Borrowing Money From Clients
- Broker Bruce Amman Terminated After Private Securities Transactions
- Broker Bruce Barber Terminated from Firm for Selling Unapproved Private Securities
- Broker Daniel Beech Investigated for Several Customer Disputes
- Broker Daniel Doogs Suspended by FINRA, Terminated by Employer
- Broker Daniel Peltier Pays Fine for Market Manipulation of Over-the-Counter Stock
- Broker David Geake Facing Over $500k in Unsuitable Investment Claims
- Broker Dealer Financial Services Corp. Fined $75,000 for Unsuitable Sale of Leveraged or Inverse ETFs
- Broker Dennis Thurman Investigated for Selling GWG L Bonds
- Broker Donovan Kelly Suspended for Recommending Private Placement Purchases
- Broker James Brown of Edward Jones Investments Investigated for FINRA Violation
- Broker James Edward Lyons Accused of Unauthorized Trading
- Broker Jeffrey T. Kluge Under Investigation for Unauthorized Trading
- Broker Jeffrey Wilson Under Investigation for Excessive Trading, Unsuitable Recommendations
- Broker Joel Kassewitz Has Been Accused of Providing Unsuitable Investment Advice
- Broker John Carolyn Has Been Accused of Overconcentration in Energy Securities
- Broker John Crook Hit With Complaints of Excessive Trading, Unsuitability, Others
- Broker Kee Chan Settles Mortgage-Backed Securities Fraud Allegations With SEC
- Broker Matthew Buchsbaum Faces Investor Complaints
- Broker Patrick Thayer Under Regulatory Suspension After Allegations of Stealing Client’s Funds
- Broker Richard Crabtree Barred by SEC for Defrauding Client
- Cesar Omar Rodriguez Accused of Improperly Using Investor Funds
- Cetera Advisor Broker Jaret Mutter Is in the Spotlight for Allegations of Unsuitable Investments
- Chad D. Hornday Accused of Selling Away, Barred by FINRA
- Charlotte Guin Accused of Investment Misconduct, Meyer Wilson Investigates
- Christopher Sinkula of Janney Montgomery Accused by Customer of Making Unsuitable Investments
- Class Acceleration Corp.’s SPAC Merger Setback Raises Concerns
- Cleveland’S John Phillip Correnti Barred from Securities Industry by FINRA
- Columbus Stockbroker Arrested for Stealing $500,000 From an Elderly Upper Arlington Resident, According to Police
- Cory R. Brunell Investigated for Claims of Unsuitable Recommendations
- Craig Thistlethwaite Suspended for Unauthorized $54M Trading, Violating Rules
- Criminal Charges Filed in Ohio Ponzi Scheme Against Kgta Principal Ken Grant
- Customers of Roderick Yzaguirre Contact Meyer Wilson
- Danny Scott Hood Barred for Variable Annuity Scam
- David Krumrey Terminated from Oppenheimer for Rule Violations
- Deutsche Bank Securities Inc. Fined $12.5 Million by FINRA
- Did Ameriprise Fail to Safeguard Your Money?
- Did Brian Sterz Overconcentrate Your Account?
- Did Christopher Cavallaro Recommend to You Oil & Gas Investments?
- Did Former Investors Capital Corp. Financial Advisor Donnie Ingram Make Unsuitable Investment Recommendations for You?
- Did Irvine-based Financial Advisor Howard Hsieh, Of Cetera Investment Services, Invest Your Money In Risky Non-traded Real Estate Securities?
- Did Ivan Cen Sell You Risky, Non-Traded Real Estate Securities?
- Did Mark Former Make Unauthorized Trades or Recommend Unsuitable Investments on Your Account?
- Did Rabih M. Msallem Sell You Structured Notes?
- Did You Have an Account Managed by Kevin McCallum of LPL Financial?
- Did You Lose Money in an Account Managed by Andrew Marschall?
- Did You Lose Money in an Account Managed by Tony Brookfield?
- Did You Lose Money Investing with Former NYLIFE Securities Broker Michael Norman?
- Did You Lose Money Investing with Peter Butler?
- Did You Lose Money on Short Sales With Cantor Fitzgerald?
- Did You Overpay for Mortgage Bonds?
- Did You Suffer Investment Losses While Working With Arkadios Capital Broker Kevin Rainwater?
- Did You Sustain Losses After Investing with Richard Belz?
- Did Your Investment Adviser From W.A. Smith Financial Group Sell You Risky, Non-Traded Real Estate Securities?
- Douglas Farris Accused of Misleading Investors Over Complex Life Insurance
- Eight People Sentenced to Prison and Ordered to Pay Nearly $130 Million in Restitution
- Elderly Investors: Do You Know Where Your Money Is Going?
- Eugene Thompson’s Client Complaints over GWG L-Bonds
- Failure to Disclose Commissions Earned: Company Allegedly Fraudulent
- Failure to Supervise Can Result in Broker-dealer Liability in “Selling Away” Cases
- Fidelity Brokerage Services Accused of Misconduct
- Fifth Third Securities Sanctioned by FINRA for Failures Relating to Variable Annuity Exchanges
- Financial Advisor Peter Holler Terminated and Suspended for Selling Clients Woodbridge Ponzi Scheme
- Financial Broker Sonia Attkiss Investigated in Billion-Dollar Investor Dispute
- FINRA Bars Former Raymond James Broker Taek Chong After Complaints of Overpayment of Commissions
- Finra Bars Former U.S. Bancorp Broker John Wade for Converting Client Funds
- FINRA Bars Former UBS Broker John Maccoll for Evading Investigation Over Alleged Multi-million Dollar Fraud Scheme
- FINRA Has Barred Former Morgan Stanley Broker Darrell Rideaux After Allegations of Selling Away
- FINRA Issues Investor Alert About Fraud After Hurricane Florence
- Firms Must Pay Close Attention to Brokers With History of Financial Problems
- First Financial Equity Corporation Broker Jeffrey Sigman Fired Amidst Regulatory Investigation
- First Republic Bank’s Preferred Shares: Ripe for Broker Misconduct
- Five Registered Brokers Among Group Indicted on Alleged Market Manipulation Scheme
- Former Advisor Jason Cox Sentenced for Defrauding Investors
- Former Advisor William Hobby Implicated in 20+ Customer Disputes
- Former Ameriprise Adviser Susan Elizabeth Walker Sentenced to 88 Months for Stealing Client Funds
- Former Ameriprise Broker Ted Cadwallader Accused of Misconduct, Meyer Wilson Investigates
- Former Berthel Fisher & Company Broker Mason Gann Suspended by FINRA
- Former Broker Andrew Caspersen Pleads Guilty to Fraud Charges
- Former Broker Bryan Wayne Anderson in Prison, Barred by SEC
- Former Broker Donald A. DeVito II Accused of Churning and Unauthorized Trading
- Former Broker Evan Kochav of Jersey City Indicted & Charged With Stealing $561k From Investors
- Former Broker Gerald Cocuzzo Pleads Guilty to Securities Fraud
- Former Broker Jeffrey Alan Stewart Accused of Converting Customer Funds
- Former Broker Joshua Ray Abernathy Charged With $1.3m Fraud, Meyer Wilson Investigates
- Former Broker Raul Benitez’s Troubling Record
- Former Broker Scott Newsholme Sued by SEC for Stealing More than $1 Million from Clients
- Former Broker Timothy Roth Accused of Misappropriating Millions of Dollars of Client Funds
- Former Cambridge Broker Ralph Savoie Accused of Misconduct, Meyer Wilson Investigates
- Former Cambridge Broker Ralph Savoie Criminal Charged for Defrauding Investors in Ponzi Scheme
- Former Cleveland Broker James Unger Charged with Embezzlement
- Former Dallas Broker Wade Lawrence Gets 3-Year Prison Sentence for Fraud
- Former Edward Jones Advisor Jason W. Cox Accused of Stealing Money From Disabled Woman
- Former Edward Jones Broker Fired and Expelled from Industry over Allegations He Misused Elderly Client’s Funds
- Former Florida Broker Alex Herrera Barred by FINRA Over Allegations of Client Theft
- Former Florida Broker Lisa Lowi Barred for Unsuitable Recommendations
- Former HD Vest Broker Donna Barnard Facing Multiple Complaints for Selling Customers Woodbridge Ponzi Scheme
- Former HD Vest Broker Jerry Raines Investigated for Allegations Involving Woodbridge Mortgage Investment Fund
- Former JP Morgan Securities Broker Sam M. Stull Accused of Misconduct by Regulators
- Former LPL Broker Charles Caleb Fackrell Charged in Ponzi Scheme
- Former LPL Broker Charles Caleb Fackrell Fired for Selling Away, Conversion of Customer Funds
- Former LPL Broker Walter Chao Accused of Misconduct, Meyer Wilson Investigates
- Former LPL Financial Broker Melvin Case Charged with Exploitation of the Elderly
- Former LPL Financial Broker Sanders Spangler Pulls a No-Show in Regulatory Investigation, Gets Barred by FINRA
- Former LPL Financial Broker Sonya Camarco Sued by SEC for Allegations of Client Theft
- Former Lpl Financial Broker Suhail Khan Barred by FINRA
- Former Merrill Lynch Broker Christopher Hibbard Barred for Dodging Regulatory Investigation – Faces Multiple Allegations of Client Theft
- Former Merrill Lynch Broker Ethan De Naray Fired Amidst Allegations of Unauthorized Trading
- Former Merrill Lynch Broker Faces Multiple Pending Disputes Alleging Unauthorized Trading
- Former Merrill Lynch Broker Frank Zito Discharged Over Allegations of Selling Away
- Former Michigan Broker Ernest Romer Sued by SEC Over Multi-million Dollar Securities Fraud
- Former Morgan Stanley Broker Charles Dixon Barred by Regulators Over Failure to Comply with Investigation
- Former Morgan Stanley Broker Cornelius Peterson Barred
- Former Morgan Stanley Broker Kevin Woolf Barred for Noncompliance with FINRA Investigation
- Former Morgan Stanley Broker Matthew Singer Investigated for Unsuitable Options Trading, Barred for Failing to Appear
- Former Morgan Stanley Broker Michael Ralby Barred for Declining to Comply With Regulatory Investigation
- Former Morgan Stanley Broker Peter Doyle Barred by FINRA
- Former Morgan Stanley Broker Randall Hayes Under Investigation for Allegedly Selling Inverse and Leveraged ETFs
- Former Morgan Stanley Broker Stewart Malloy the Subject of Regulatory Action and Customer Complaints
- Former National Securities Corp. Broker Zachary T. Bader Accused of Misconduct, Meyer Wilson Investigates
- Former National Securities Corporation Broker Vito James Balsamo Accused of Misconduct
- Former Northwestern Mutual Investment Services Broker Donnell Noah Bowen Barred After Failing to Cooperate With an Investigation
- Former NYLIFE Broker Accused of Participating in Outside Business Activity
- Former Ohio Broker Bryan Carnahan Faces Misconduct Allegations
- Former Ohio Broker John Schmidt Charged by the SEC With Defrauding Seniors
- Former Ohio Financial Advisor Mark Speakman Sentenced for Defrauding Clients More than $1.1 Million
- Former Ohio Stockbroker Thomas E. Brenner, Jr., Accused of Participating in Nationwide Ponzi Scheme
- Former OneAmerica Broker Brantly Chavis Accused of Misconduct, Meyer Wilson Investigates
- Former Oppenheimer & Company Broker David Krumrey Was Suspended by FINRA for Failing to Produce Information
- Former Oppenheimer Broker Leslie Flaum Faces Allegations of Failing to Supervise the Sale of Investments to Customers
- Former PFS Investments Broker Daniel Winger Consents to Findings of Client Theft
- Former Philidelphia Eagles Linebacker to Pay the Price after Ripping off Investors in $10 Million Fraud Scheme
- Former PNC Investments and Wells Fargo Broker Philip Earl Brunson Facing Misconduct Allegations
- Former Pruco Broker Ronald Dunn Accused of Converting Customer Funds
- Former Questar Capital Corporation Broker Kevin D. Wanner Barred by FINRA
- Former RBC Broker Patrick Hudson Suspended for Broker Misconduct
- Former RBS Securities Broker Matthew Katke Pleads Guilty to Multimillion-Dollar Securities Fraud Scheme
- Former Royal Alliance Broker Gary Basralian Admits to Stealing Millions From Clients
- Former Royal Alliance Broker Gary Basralian Arrested for Allegedly Stealing More Than $2 Million From Clients
- Former Signator Investors, Inc. Broker Joseph Pratte Permanently Barred From Securities Industry by Regulators
- Former Stifel Nicolaus Broker of Boardman, Ohio Stephen Hurtuk Faces Allegations of Selling Speculative, Unsuitable Investments
- Former Stifel, Nicolaus & Company Broker Mitchell Yanow Barred for Stealing Customer Funds
- Former Stock Broker Jerry Lou Guttman Barred for Selling Unapproved Securities to His Customers
- Former Stockbroker Micah C. Wilson Charged With Fraud, Meyer Wilson Investigates
- Former Stockcross Broker Herbert Voss Barred for Not Cooperating With Regulatory Investigation
- Former UBS Broker Lorenzo Esteva Barred during Investigation of Unauthorized Trading
- Former Voya Broker Martin Stancik Hit with Mail Fraud Allegations
- Former Wells Fargo Broker Douglas J. Melzer Accused of Selling Unapproved Outside Investments
- Former Wells Fargo Broker Jeffrey Palish Accused of Stealing Elderly Client’s Funds
- Former Wells Fargo Broker John Schmidt Accused of Misappropriation, Theft of Client Funds
- Former Wells Fargo Broker Ramon Herrera Under Regulatory Suspension for Misconduct
- Former Wells Fargo Financial Advisor Timothy J. Scherwa Accused of Misconduct
- Former Wells Fargo Rep Robert Montes Barred by FINRA After Investigation Into the Possible Misuse of Elderly Client Assets
- Fort Myers Financial Advisor David Rockwell Facing Client Claims of Alleged Forgery, Fraud & Misappropriation
- Frederick Monroe Jr. Permanently Barred by FINRA
- Gary Alan Kieper’s Alleged Fraud: Ackley Treasurer Embezzles Funds
- George Thoreson Barred by SEC Following Pump and Dump Scheme Allegations
- Glen Galemmo and Galemmo Investment Group – Yet Another Ohio-Based Ponzi Scheme?
- Gregory Whelan Faces $2M Investor Complaint
- GSR II Meteor Merger Puts Bitcoin Depot in Crosshairs
- Guilty Plea by Former Ohio Stockbroker Mark Preston French
- Has Matthew Divirgilio Sold You Inappropriate Investments?
- Has Michelle Anthony Sold You Unsuitable Investments?
- Have You Suffered Financial Losses With Investment Adviser Kenneth Blumberg?
- Have You Suffered Investment Losses Working With Investment Adviser Cristopher Bice?
- Have You Suffered Losses in Hospitality Investors Trust REIT?
- Hilliard Lyons Broker Christopher Bennett Ordered to Pay $445,000 in Damages to Customer in FINRA Arbitration
- How to Get Your Money Back if You Invested With Michael Oppenheim
- How to Recover Losses in FIP
- Informational Meeting With Investment Fraud Attorneys in Pittsburgh on Thursday, June 12
- Investigating Claims Against TD Ameritrade, Aequitas Management
- Investment Complaints Against Dexter Thomas: Investors Seeking Over $9.3 Million in Damages
- Investment Fraud Attorneys at Meyer Wilson Receiving Calls From Victims in Madison Timber Alleged Ponzi Scheme
- Investment Fraud Law Firm Meyer Wilson Uncovers Significant Details About Patricia Miller’s Alleged Ponzi Scheme
- Investors at Risk: Government Shutdown, SEC Closure Opens Door to Fraud
- Investors Continue to Reel From MLP and Energy-Related Stock Losses
- Investors Lose Millions in Scheme by Former UBS Broker
- Is Your Brokerage Firm Protecting Your Hard-earned Money?
- Izak Zirk De Maison Accused of $27 Million in Investor Losses, Meyer Wilson Investigates
- J.P. Morgan Securities Broker Robert Owen Klein Subject of Multiple Customer Complaints
- J.P. Morgan Securities, LLC Fined $1.25 Million Over Failure to Appropriately Screen or Fingerprint Employees
- Jason Mitsuda’s High-Risk Structured Products Exposed
- Jeffrey A. Martinovich Pleads Guilty to Count of Money Laundering
- Jerry Cicolani, Jr. Issued SEC Order of Administrative Proceedings
- Jerry McCutchen Barred by FINRA
- JJB Hilliard, WL Lyons Broker Michael Barnett Facing Allegations of Investment Misconduct
- John Micera Broker Scandal: Unsuitability Claims Topple High-Risk Structured Notes
- Joseph Sterling of Geneos Wealth Management the Subject of Customer Complaints for Making Unsuitable Recommendations
- Justice Department Investigating Wealth Management Unit at Wells Fargo
- Kelly Johnston Accused of Misleading Clients: $25 Million in Losses
- Ken Maring Under Investigation: Options Losses Exposed
- Kim Dee Isaacson Permanently Barred by FINRA
- Larry Charles Wolfe Under Investigation for Broker Misconduct
- Looming Losses for GWG L Bondholders: GWG L Bond Updates for Investors
- Lori Ann Artzberger Barred From Securities Industry
- Louisiana Broker Benjamin Bourgeois Jr. Barred By Finra In Investment Fraud Investigation
- Louisville Broker-advisor Mark T. Lamkin Faces Investor Complaints
- LPL Broker David J. Hackney Fired Over Churning Allegations, Meyer Wilson Investigates
- LPL Financial Investigation | LPL REIT Losses Investigation
- Man and Sons Charged With Stealing $18 Million in Mail, Wire Fraud Scheme
- Mark Just of Triad Advisors Accused of Selling Unsuitable Investments
- Maryland Broker John W. Cutshall Barred by FINRA
- Mason Penalized for Unsuitable GWG L Bond Recommendations
- Massachusetts Securities Division Files Complaint Against LPL Financial and Its Broker Roger S. Zullo
- Matthew J. Davis: Meyer Wilson Investigates Claims Involving Former Oneamerica Broker
- Merrill Lynch Broker James Lowther Accused of Unauthorized Trading
- Merrill Lynch Fined $7 Million by FINRA
- Meyer Wilson Attorneys Investigate Allegations Involving Former David Lerner Broker Michael Thomas Lombardo
- Meyer Wilson Attorneys Investigate Allegations Involving Former Stockbroker Derek Weaver
- Meyer Wilson Attorneys Investigate Allegations Involving Greg Campbell
- Meyer Wilson Currently Investigating Accusations Against Former Rockwell Broker Denny Darmodihardjo
- Meyer Wilson Currently Investigating Allegations Against Former Broker Walter Francis Grenda, Jr.
- Meyer Wilson Files Finra Arbitration Against Raymond James Relating to Broker Jeffrey Ingros
- Meyer Wilson Files Second FINRA Arbitration Against World Group Securities
- Meyer Wilson Investigates Accusations Involving Broker Marc W. Evans
- Meyer Wilson Investigates Accusations Involving Glenn A. Moffitt
- Meyer Wilson Investigates Allegations Against Bennett Scott Broad
- Meyer Wilson Investigates Allegations Against Broker Joseph Schroeder
- Meyer Wilson Investigates Allegations Against Jeffrey Feldman in Connection With $15m Scam
- Meyer Wilson Investigates Allegations Against the LJM Preservation and Growth Fund
- Meyer Wilson Investigates Allegations Made Against Jack Allen Scherbert
- Meyer Wilson Investigates Allegations of Malcolm Babin Misappropriating Funds
- Meyer Wilson Investigates Alvery Bartlett for Alleged Unsuitable Investment Recommendations
- Meyer Wilson Investigates Barry Hartman Formerly of FSC Securities
- Meyer Wilson Investigates Bernard Adair for Unsuitable Investment Recommendations
- Meyer Wilson Investigates Broker Daniel Barnard for Unsuitable Investment Recommendations
- Meyer Wilson Investigates Broker Jeffrey Furniss
- Meyer Wilson Investigates Broker Matthew Buchsbaum for Multiple Allegations
- Meyer Wilson Investigates Broker Robert Wolfe
- Meyer Wilson Investigates Broker Stuart Pearl
- Meyer Wilson Investigates Broker Thomas Riquier for Allegations of Defrauding Investors
- Meyer Wilson Investigates Broker Tony Barouti for GWG L Bond Sales
- Meyer Wilson Investigates Charges Against Michael J. Oppenheim for Stealing $20 Million From Clients
- Meyer Wilson Investigates Cincinnati Broker Matthew Roger Quinn
- Meyer Wilson Investigates Claims of Broker Misconduct against Samuel Rankin
- Meyer Wilson Investigates Clark Harris for Broker Misconduct
- Meyer Wilson Investigates Dallas Broker Charged With Fraud
- Meyer Wilson Investigates Former Broker Bryan Anderson for Allegedly Employing Ponzi Scheme
- Meyer Wilson Investigates Former Cape Securities Inc. Broker Paul Elvidge
- Meyer Wilson Investigates Former Merrill Lynch Broker Roderick Yzaguirre
- Meyer Wilson Investigates Former Morgan Stanley Broker David Olson Regarding Allegations of Engaging in Undisclosed Outside Business Activities
- Meyer Wilson Investigates Former Morgan Stanley Broker Thomas Meier
- Meyer Wilson Investigates Former Morgan Stanley Broker Timothy Gibbons for Allegations of Unsuitable Recommendations to Elderly Clients
- Meyer Wilson Investigates Former Nylife Securities Llc Broker Alan New for Selling Clients Woodbridge Mortgage Investment Fund
- Meyer Wilson Investigates Former Securities Service Network Broker Dale Isaak
- Meyer Wilson Investigates Former Voya / ING Financial Broker Giovanni L. Acevedo
- Meyer Wilson Investigates Jerry Irvin Chancy Over Selling Unapproved Investments to Customers
- Meyer Wilson Investigates Mark Lott
- Meyer Wilson Investigates Misconduct Allegations Facing Former LPL Broker Julius Kenney
- Meyer Wilson Investigates Misconduct Allegations Facing Larry Dearman of Oklahoma
- Meyer Wilson Investigates Ponzi Scheme Allegations Against Former Broker Malcolm Segal
- Meyer Wilson Investigates Possible Supervisory Failures of J.P. Morgan Securities LLC
- Meyer Wilson Investigates Rathnakishore Giri for Investment Fraud
- Meyer Wilson Investigates Stockbroker Richard Gomez
- Meyer Wilson Investigates Unsuitable Investments Claims against Broker Kevin C. Butler
- Meyer Wilson Investigates Wunderlich Securities, Inc. Financial Advisor Jack Mcbride for Alleged Unauthorized and Unsuitable Transactions
- Meyer Wilson Investigating Accusations Against Former Edward Jones Broker Anthony C. Gray
- Meyer Wilson Investigating Accusations Against Former Edward Jones Stockbroker Bernard Parker
- Meyer Wilson Investigating Allegations Against Former Broker Timothy Francis Dufresne
- Meyer Wilson Investigating Allegations Involving Former Wells Fargo Broker Brent W. Burgesser
- Meyer Wilson Investigating Allegations Surrounding NFP Securities Broker Robert Regan
- Meyer Wilson Investigating Alleged Misconduct by Former LPL Broker Raymond D. Schmidt
- Meyer Wilson Investigating Annuity Fraud Claims Against Broker Roger S. Zullo
- Meyer Wilson Investigating Broker Gregg D. Templeton over Allegations of Misrepresentation and Omissions
- Meyer Wilson Investigating Claims Against Ameriprise Financial Broker Jeffrey Krupnick
- Meyer Wilson Investigating Claims Against Broker Andrew Scheirer
- Meyer Wilson Investigating Claims Against Broker Andrew Yocum
- Meyer Wilson Investigating Claims Against Broker Bradley Ross
- Meyer Wilson Investigating Claims Against Broker Bryon Martinsen
- Meyer Wilson Investigating Claims Against Broker Cary Kievman
- Meyer Wilson Investigating Claims Against Broker Christopher Bond
- Meyer Wilson Investigating Claims Against Broker Craig Lansing Hayward
- Meyer Wilson Investigating Claims Against Broker David Colflesh
- Meyer Wilson Investigating Claims Against Broker Dion Padilla
- Meyer Wilson Investigating Claims Against Broker Eduardo Alaman
- Meyer Wilson Investigating Claims Against Broker Erryn Barkett
- Meyer Wilson Investigating Claims Against Broker Gerald Ohalloran
- Meyer Wilson Investigating Claims Against Broker Gregory Van Winkle
- Meyer Wilson Investigating Claims Against Broker Howard Brous
- Meyer Wilson Investigating Claims Against Broker Jacquin Fink
- Meyer Wilson Investigating Claims Against Broker James Noto
- Meyer Wilson Investigating Claims Against Broker Kim Isaacson
- Meyer Wilson Investigating Claims Against Broker Landon Williams
- Meyer Wilson Investigating Claims Against Broker Samuel Koltun
- Meyer Wilson Investigating Claims Against Broker Steven Orr
- Meyer Wilson Investigating Claims Against Broker Walter Marino
- Meyer Wilson Investigating Claims Against Broker William David Utanski
- Meyer Wilson Investigating Claims Against Broker William Harvey
- Meyer Wilson Investigating Claims Against Broker William Heiden
- Meyer Wilson Investigating Claims Against Broker Zahir Walji
- Meyer Wilson Investigating Claims Against Dean Mustaphalli
- Meyer Wilson Investigating Claims Against Former Broker Barry Connell
- Meyer Wilson Investigating Claims Against Former Broker Brandon Gioffre
- Meyer Wilson Investigating Claims Against Former Broker Charles Lynch
- Meyer Wilson Investigating Claims Against Former Broker Clark Gardner
- Meyer Wilson Investigating Claims Against Former Broker Claus Foerster
- Meyer Wilson Investigating Claims Against Former Broker Darrell Smith
- Meyer Wilson Investigating Claims Against Former Broker Gary Donovan
- Meyer Wilson Investigating Claims Against Former Broker Gary Saitowitz
- Meyer Wilson Investigating Claims Against Former Broker James Mahan
- Meyer Wilson Investigating Claims Against Former Broker Jay Gruenebaum
- Meyer Wilson Investigating Claims Against Former Broker Jeffrey Howell
- Meyer Wilson Investigating Claims Against Former Broker Jerry Mccutchen
- Meyer Wilson Investigating Claims Against Former Broker Jesse Litvak
- Meyer Wilson Investigating Claims Against Former Broker John Corsi
- Meyer Wilson Investigating Claims Against Former Broker John Howard Towers
- Meyer Wilson Investigating Claims Against Former Broker John S. Hudnall
- Meyer Wilson Investigating Claims Against Former Broker Jonathan Williams
- Meyer Wilson Investigating Claims Against Former Broker Lance J. Ziesemer
- Meyer Wilson Investigating Claims Against Former Broker Leonard Allen Goldberg
- Meyer Wilson Investigating Claims Against Former Broker Mark Speakman
- Meyer Wilson Investigating Claims Against Former Broker Michael Barranco
- Meyer Wilson Investigating Claims Against Former Broker Nathan Bartow
- Meyer Wilson Investigating Claims Against Former Broker Nicholas Bonacci
- Meyer Wilson Investigating Claims Against Former Broker Paul Blum
- Meyer Wilson Investigating Claims Against Former Broker Ronald W. Nichter
- Meyer Wilson Investigating Claims against Former Broker Scott Goldman
- Meyer Wilson Investigating Claims Against Former Broker Thomas Paul Schober
- Meyer Wilson Investigating Claims Against Former Broker Tye Williams
- Meyer Wilson Investigating Claims Against Former Cambridge Broker Sheldon J. Harber
- Meyer Wilson Investigating Claims Against Former LPL Financial Broker Gerard A. Fagnant
- Meyer Wilson Investigating Claims Against Morgan Stanley Broker Armando Fernandez
- Meyer Wilson Investigating Claims Against Oppenheimer Broker Matthew Giannone
- Meyer Wilson Investigating Claims Against Wells Fargo Broker Robert Giusti
- Meyer Wilson Investigating Claims Involving Former Broker Ken Balser
- Meyer Wilson Investigating Claims Involving Former Minnesota Broker Howard Richards
- Meyer Wilson Investigating Complaints Against Former Broker Glenn Robert King
- Meyer Wilson Investigating Former Broker / Advisor Steven Fonda for Unauthorized Trading
- Meyer Wilson Investigating Former Ohio SA Stone Wealth Broker Terminated for Selling Away
- Meyer Wilson Investigating Former Questar Capital Corporation Broker Kevin D. Wanner
- Meyer Wilson Investigating Investor Losses in Business Development Companies
- Meyer Wilson Investigating Larry S. Werbel Investment Fraud Allegations
- Meyer Wilson Investigating Misrepresentation Claims against Broker Arthur S. Hoffman
- Meyer Wilson Investigating Multiple Stockbroker Fraud Allegations against William Francis Gillis
- Meyer Wilson Investigating Overconcentration Allegations Against Margaret Lech-Loubet
- Meyer Wilson Investigating Potential Investment Fraud Claims Involving Sean D. Casterline
- Meyer Wilson Investigating Potential Investment Loss Claims Involving Alleged Misconduct by Financial Advisor John J. Maloney III
- Meyer Wilson Investigating Potential Investment Misconduct Claims Involving Financial Advisor David Howard Fagenson
- Meyer Wilson Investigating Potential Legal Claims Involving Financial Advisor Richard Braverman of Geneos Wealth Management
- Meyer Wilson Investigating Representative Darren Oglesby Amidst Allegations of Misconduct by His Customers
- Meyer Wilson Investigating Stockbroker Misconduct Complaints against Broker Hilary Joseph Zimmerman
- Meyer Wilson Investigation: Former John Thomas Financial Broker Leonid Yurovsky
- Meyer Wilson Is Investigating Aegis Capital Corp. Broker Dominick Diorio Regarding Allegations of Misconduct
- Meyer Wilson Is Investigating Ameriprise Financial Services Broker James Kujawski for Allegations of Misconduct
- Meyer Wilson Is Investigating Broker Scott Palmer Regarding Customer Disputes Alleging Overconcentration
- Meyer Wilson Is Investigating Former JP Morgan Broker Farid Morim for Alleged Conversion of Customer Assets
- Meyer Wilson Is Investigating Former Newbridge Securities Corporation Broker Brian Berger for Allegations of Fraud and Other FINRA Rule Violations
- Meyer Wilson Is Representing Investors in Claims Involving Columbus Broker Craig Sutherland
- Meyer Wilson Is Taking Calls From Clients of David N. Adams
- Meyer Wilson Law Firm Investigating Alleged Misconduct by Now-Former Merrill Lynch Financial Advisor John M. James
- Meyer Wilson Law Firm Investigating Claims Involving Former Stockbroker Barkley J. Lundy, Jr.
- Meyer Wilson Law Firm Investigating Claims Involving Stockbroker Kirsten Flynn Hawkins
- Meyer Wilson Receiving Calls from Aggrieved Customers of Broker Jorge Meza
- Meyer Wilson Representing Investors in Annuity Misrepresentation Case
- Meyer Wilson Representing Investors in Claims Involving Improper Reit Sales and Other Unsuitable Investments Sold by Cetera Advisors
- Meyer Wilson Representing Investors in Claims Involving Michigan Broker Bassam Salem
- Meyer Wilson Representing Victims of Reuben Brown’s Clover Capital Scheme
- Meyer Wilson Representing Victims of the Enviro Board Investment Scheme
- Meyer Wilson Securities Attorneys Looking Into Allegations Against Broker Ronald Rothchild
- Meyer Wilson Teams Up With Pittsburgh Law Firm of Rosen Louik & Perry, P.C. To Represent Victims of the Alleged Ponzi Scheme Involving Broker Patricia Miller
- Meyer Wilson’s Investigation Into Next Financial Group
- Michael P. Spolar Faces Charges of Investment Unsuitability
- Michael Willard Korson Investigated Over Selling Away Claims
- Michigan-Based Broker John Loveland is the Subject of Two Pending Customer Complaints
- Molly K. Angelo Allegedly Converted Customer Funds: Meyer Wilson Investigates
- More Victims Expected to Come Forward in Case Involving Former Western International Securities Brokers SIAS and Chichester
- Morgan Lewis Arford Facing Allegations of Unsuitable Oil and Gas Investments
- NE Ohio Investment Advisor Accused of $7 Million Ponzi Scheme
- Neal C. Moon Under Investigation for Improper Sales of Private Securities
- Nevin Shapiro and Capitol Investments USA, Inc. – Alleged Ponzi Scheme
- Northeast Ohio Broker Geoffrey W. Nehrenz Sentenced to Nearly 5 Years
- NRIA Files Bankruptcy After Multiple Investigations
- NY Broker Michael Fasciglione Faces FINRA Customer Complaints Over Investor Losses
- Ohio Broker Michael Mackay Barred Over FINRA Investigation Into Outside Business Activity
- Ohio Investment Fraud Law Firm Continues Investigation Into Potential Recovery for Victims of Brenda Ashcraft’s Alleged Investment Fraud
- Ohio Men Plead Guilty in $17 Million Ponzi Scheme
- Oppenheimer & Co. Sanctioned $2.9 Million in Fines and Other Penalties for Unsuitable Sales
- Oppenheimer & Co. Sanctioned $3.4 Million for Numerous Violations
- Pennsylvania Broker Fined $200,000 for Selling Unsuitable Investment
- PepperLime Health Acquisition Corp. Under Investigation
- Ponzi Scheme Allegedly Victimized Over 400 People
- Potential Investor Claims Against Summit Brokerage Relating to Timothy Cochrane
- Powell’s Missing Millions Sparks Investment Fraud Investigation
- Proposed Bill Would Make Sure Defrauded Investors Don’t Get Stiffed
- Protecting Yourself from Fake Check Scams
- Prudential Annuities Distributors, Inc. Fined for Failing to Prevent $1.3 Million Theft
- Raymond James Broker Thomas Whitmeyer O’Brien Is the Subject of a Customer Complaint
- Recover Your Losses in GWG Holdings, Inc. with Meyer Wilson
- Representative Joshua Mauk Voluntarily Resigns Amidst Internal Investigation
- Reuben Brown Barred: FINRA Takes Action Against former Edward Jones Broker
- Reverse Convertible Investment Fraud Losses
- Richard Allen Ceffalio, Jr. Facing Massive FINRA Arbitration Claim
- Rick Konecny Investigated for Unsuitable Investments, Unauthorized Trading & Overconcentration
- Robert Earls: LPL Advisor Accused of Unsuitable Investments, Misappropriation
- Robert Tricarico Sentenced to 41 Months in Prison
- Rodgers Silicon Valley Acquisition Corporation Faces Investor Scrutiny
- Saimir Astrit Prapaniku: Broker Faces Multiple Misconduct Claims
- Scammers Attempting to Fool Brokerages with Fake Email Transfer Requests
- SEC Accuses Former Broker William Quigley & Brothers of Fraudulent Offering Scheme
- SEC Accuses Thomas E. Andrews of Investor Fraud and Misappropriation of Funds
- SEC Brings Administrative and Cease-and-Desist Proceedings Against Former Broker Gary M. Arford
- SEC Charges Citigroup and Morgan Stanley Nearly $6 Million for Misleading Investors
- SEC Considers Allowing Forced Arbitration to Ban Securities Class Actions
- SEC Indicts Former LPL Broker Kerry L. Hoffman on $3.3m Investor Fraud
- SEC Issues Warning over Paid-to-Click Scams
- SEC Orders Administrative Proceedings Against Frederick V. Mcmenimen III
- SEC Warning: Unregulated Cryptocurrency Exchanges Place Investors at Risk
- Securities America Broker Hector May Fired Amidst Allegations He Stole From Clients
- Selling Investors Woodbridge Mortgage Investment Funds Gets Ny Life Securities Broker Joel Flaningan Terminated
- Senior VP of Capital Financial Planning Charged in $1m Ponzi Scheme
- Sham Business Used Telemarketing Credit Card Protection Scam to Target Elderly Victims, Reaped Millions
- Shocking: Broker Gihan Anil Fernando has 56 Customer Complaints
- South Florida Broker-advisor Christopher Hellman Barred by FINRA Over Alleged “Selling Away”
- Steven Knuttila Investigated for Unsuitability and Poor Investment Advice
- Steven Luftschein under Investigation for Alleged Unauthorized Trading, Other Stockbroker Misconduct
- Stockbroker Theresa Allen Faces Loss Claims Totaling Millions
- Sylvester King Jr. Faces Selling Away Accusations Involving Startup Company GVC
- Tennessee-Based Broker Thomas Lawrence Faces Pending Stockbroker Misconduct Complaint
- The Investment Fraud Attorneys at Meyer Wilson Are Investigating Claims and Speaking to Victims of Philip Incorvia’s Alleged Ponzi Scheme
- The SEC Indicts Former Nomura Traders With Fraud, Meyer Wilson Investigating
- There Is a 75% Chance One of These Deceptive Practices Is Affecting You
- Thomas Caniford Indicted for Securities Fraud and Theft, Meyer Wilson Continues Investigation
- Thomas Caniford Pleads Guilty, Sentenced to 12 Years for Hedge Fund Fraud
- Thrivent Investment Management Fined $325K
- Todd Ryman Accused of Recommending Unsuitable Private Investment Fund
- Two Former Brokers Barred for Their Alleged Roles in Pension Fund Scandal, Top Official Navnoor Kang Charged With Fraud
- UBS Broker Jose Cornide Hit With Unsuitability, Misrepresentation Complaints
- UBS Broker Nicolas Barrios Barred for Failure to Cooperate With Fraud Investigation
- UBS Charged With Supervisory Failures by the SEC
- Unsuitable Energy Securities Endorsed by Jeffrey Randolph Wilson
- Update From Ohio Investment Fraud Attorney Representing Victims of KGTA Ponzi Scheme
- Update: Investigation Against St. Louis Stockbroker Joshua Gould and Woodbury Financial Services
- Update: Ohio Law Firm of Meyer Wilson Hired by Former Clients of Ohio Stockbroker Christopher Todd Wendel
- Utah Lpl Rep Jason Nelson Barred By FINRA
- VALIC Financial Advisors, Inc. Fined $1.75 Million
- Victim of Tracy Wengert’s Alleged Investment Misconduct Hires Meyer Wilson Law Firm to Recover Losses
- Vista Fund Losses: Inside Oppenheimer’s Private Market Debacle
- Wells Fargo Broker Aaron R. Parthemer Accused of Selling Away
- Wente Kao Terminated by TransAmerica
- Were You Pressured to Invest in Securities You Didn’t Understand?
- William Burks Investigated for Over $415,000 in Client Damages
- William H. Merriam IV Barred from Securities Industry by FINRA after Broker Forgery Allegations
- Williams Rowland Acquisition Corp. Will Redeem Its Public Shares and Liquidate
- Winston Turner Permanently Barred by FINRA
- Wunderlich Broker Jack Mcbride Under Investigation for Unsuitable ETFs
Category: Elder Abuse
- Aging Brains Reported to Be Scientifically More Susceptible to Fraud
- Are Brokerages and Advisors Doing Enough to Protect Seniors?
- DOJ Announces Results of Largest National Elder Fraud Sweep
- Elderly Couple Wins $600,000 After Jerome Krause Allegedly Took $150,000
- Emotions Make Older Adults More Susceptible to Fraud
- Financial Predators Turn to Insurance Products to Target the Elderly
- Former Allstate Broker Philip Leonard Grasso Accused of Misappropriating Funds From Elderly Investors
- Hidden Fees Make Equity-Indexed Annuities Bad Investment for Seniors
- How To Prove Financial Abuse on an Elder-Aged Victim? Your Next Steps
- Illinois Investment Advisor Barred From Industry for Stealing From Clients
- Investigate Before You Invest
- New Nationwide Collaborative Effort to Prevent Elder Investment Fraud
- North Canton Ohio Man William Morgan Sent to Prison for Stealing From Elderly
- Protecting the Elderly From Broker Fraud
- Protecting Your Loved Ones With Dementia From Financial Abuse
- Regulator Concerns Over Senior Financial Abuse Causes Firms to Worry About Increase Costs
- Sassman Sentenced to 18 Years in Prison, $4.5 Million in Restitution
- Senator Enlists Regulators to Help Pass Senior Financial Protection Bill
- Senior Investors Should Add A “Trusted Contact Person” To Their Investment Accounts
- Seniors Face Increased Risk for Financial Exploitation During Covid19 Isolation
- Social Media Investment Fraud and Older Investors
- Survey Shows Slight Decrease in Elder Financial Abuse Claims
- Survey: 1 in 5 Over Age 65 Likely to Be Victims of Financial Fraud
- Three Financial Fraud Tips on World Elder Abuse Awareness Day
- Tips to Protect Your Elderly Loved Ones from Financial Exploitation
- Training for Senior Financial Abuse Awareness Offered by State Regulators
- What Seniors Need to Know About Selling Their Life Insurance Policies
Category: Embezzlement Scheme
- An Awful Example of 401k Fraud: Ohio Business Executive Convicted for Embezzlement, Failure to Pay Over Taxes
- Financial Fraud Is on the Rise According to Officials, Scamming Billions of Dollars From Investors
- Former Merrill Lynch Advisor Arrested for Embezzlement Scheme
- Is Your Advisor Skimming Funds from Your Investment Accounts?
- Man and Sons Charged With Stealing $18 Million in Mail, Wire Fraud Scheme
- Non-Profits and Charities Burned by Investment Fraud
- Tips to Protect Your Elderly Loved Ones from Financial Exploitation
- Wilfred Azar Pleads Guilty in $7 Million Bond Scheme
Category: Excessive Trading
- Alleged Excessive Trading by Broker Viqas Akhtar
- Broker John Crook Hit With Complaints of Excessive Trading, Unsuitability, Others
- Christopher Booth Kennedy: FINRA Bars Broker for $350M Churning Scheme
- Did Christopher Bond Engage in Unauthorized Trading in Your Account?
- Did Gustavo Miramontes Make Unauthorized and Unsuitable Trades in Your Account?
- Did Michael May Engaged in Unsuitable Trades in Your Account?
- Did You Suffer Losses in an Account Managed by Sebastian Wyczawski?
- FINRA Proposing a Wider Net to Capture Churning Brokers
- Former Ohio Financial Advisor Sam Aziz Loses Securities License For Excessive Trading
- How Can I Tell If My Broker Is Engaged In Unauthorized Trading?
- How to Stop Churning: Ways to Safeguard Your Investments
- Investor Alert: Frank Martin Sanctioned
- Meyer Wilson’s Investigation Into Next Financial Group
- Richard Mireles Gets 4-Month FINRA Ban Over $2M Churning Case
- SEC Charges Transamerica Entities $97 Million over Faulty Investment Models
- Stewart Ginn Excessive Trading Costs Clients $2.2 Million
Category: Featured
Category: FINRA
- 7 Tips to Prepare Your Investments for 2017
- A Dozen Firms Fined $14.4 Million After Failing to Protect Records From Alteration
- A New Study Shows Why Investors Should Use FINRA Brokercheck
- Ameriprise Financial Advisor Michael Sandberg Accused of Unsuitable Investment Practices
- Are the Sales of Private Placements an Indication of Brokers Gone Bad?
- Are You a Former Client of Ricky Mantei?
- Aventura, Fl Financial Advisor Izhar Shefer Accused of Unsuitable Investments
- Barclays Capital, Inc. Fined by FINRA
- Be Wary of Fake Check Scam
- Beware of Pump-and-Dump Schemes
- Boston Broker David Manor Resigns From Wells Fargo, Faces FINRA Complaint
- Broker Joel Kassewitz Has Been Accused of Providing Unsuitable Investment Advice
- Broker Joseph Natoli the Subject of Regulatory Action
- Broker Matthew Buchsbaum Faces Investor Complaints
- Brokerage Firms Will Have to Conduct Thorough Background Checks on New Hires
- Brokers’ Record Cleansing Reaches 87% Success Rate Despite FINRA Efforts
- Chicago Broker Bhenoy Dembla Barred by FINRA Over Falsifying Mutual Fund Sales Orders
- Christopher Booth Kennedy: FINRA Bars Broker for $350M Churning Scheme
- Colorado Broker Daniel Todd Levine Barred by FINRA
- Committee for the Fiduciary Standard Pushes for Financial Advisers to Sign Fiduciary Oath
- Compensation From Metlife Securities, Inc. For Variable Annuity Replacements
- Cory R. Brunell Investigated for Claims of Unsuitable Recommendations
- David P. Meyer Co-Authors PIABA Report on FINRA’s Unpaid Reward Problem
- David P. Meyer Co-Authors Updated Study on FINRA Expungements
- Deutsche Bank Securities Inc. Fined $12.5 Million by FINRA
- Did Christopher Bond Engage in Unauthorized Trading in Your Account?
- Did Douglas Solinsky Excessively Trade in Your Account?
- Did Former Investors Capital Corp. Financial Advisor Donnie Ingram Make Unsuitable Investment Recommendations for You?
- Did Jeremy Jacobson Make Unauthorized trades in Your Account?
- Did Michael May Engaged in Unsuitable Trades in Your Account?
- Did You Have an Account Managed by Kevin McCallum of LPL Financial?
- Did You Lose Money in an Account Managed by Tony Brookfield?
- Did You Lose Money Investing With JP Morgan Broker Edward Turley?
- Did You Lose Money Investing with Peter Butler?
- Did You Lose Money on Short Sales With Cantor Fitzgerald?
- Did You Lose Money With Former Voya Financial Broker William Johnson?
- Don’t Fall Prey to Digital “Pump and Dump” Scams
- E*trade Securities Llc Fined $900,000 by FINRA
- Emotions Make Older Adults More Susceptible to Fraud
- Energy Investors Continue to Lose Money in 2017; Investors May Be Able to Recover Their Losses in FINRA Arbitration
- Fidelity Investments Fined for Overcharging Customers
- FIINRA Senior Hotline Provides Lessons for Investors
- FINRA Allegations: Broker Took $1.7+ Million in Commissions
- FINRA Arbitration Claims for Stockbroker Negligence: How to Win
- FINRA Bars Former Morgan Stanley Broker for Failure to Cooperate With Investigation
- Finra Bars Former U.S. Bancorp Broker John Wade for Converting Client Funds
- FINRA Bars Louisiana Advisor Kristian Gaudet Over Alleged Misuse of Client Funds, Failure to Testify
- FINRA Broker Barring: Why It Happens and What It Means
- FINRA Broker-Compensation Rule Approved by SEC
- FINRA Changes Could Make It Harder for Brokers to Hide the past
- FINRA Department of Enforcement Files Complaint Against VFG Securities, Inc. & Jason Bryce Vanclef
- Finra Department of Enforcement Files Complaint Against Winston Wade Turner
- FINRA Fines Ameriprise Financial $850,000 for Supervisory Failures
- FINRA Grants Largest Ever Award for UBS YES Case
- FINRA Investor Alert: Required Minimum Distributions for Traditional IRAs
- FINRA Issues Investor Alert About Fraud After Hurricane Florence
- FINRA Issues Sanctions Against Randall Skrabonja
- FINRA Issues Warning over Non-Lawyer Arbitration Representatives
- FINRA Offering Senior Investors Free Resources
- FINRA Orders Cantor Fitzgerald & Co. To Pay $7.3 Million
- FINRA Proposing a Wider Net to Capture Churning Brokers
- FINRA Pushes along Proposals to Crack down on Unpaid Arbitration Awards and High-Risk Brokers
- FINRA Requests Information in Mutual Fund Waiver Sweep
- FINRA Securities Helpline for Seniors Hits First Year
- FINRA Tips on Power of Attorney and Your Investments
- FINRA Warns Investors Over Boiler Room Scams
- FL Broker Bobby Coburn Barred for Failing to Cooperate With FINRA Investigation Into Unapproved Transactions
- Following Publication of the PIABA Expungement Study, Co-Authored by Attorney David Meyer, FINRA Withdraws Expungement Proposal
- Former Advisor William Hobby Implicated in 20+ Customer Disputes
- Former Broker Gerald Cocuzzo Pleads Guilty to Securities Fraud
- Former Broker Giovanni L. Acevedo Banned by FINRA
- Former LPL Broker Leslie Rhodes Koonce Permanently Barred from Securities Industry for Selling Unapproved Investments
- Former LPL Financial Broker Sanders Spangler Pulls a No-Show in Regulatory Investigation, Gets Barred by FINRA
- Former Lpl Michigan Financial Advisor James Bylenga Barred by FINRA
- Former Manhattan Financial Advisor Elias Herbert Hafen Pleads Guilty to Investment Fraud
- Former Merrill Lynch Broker Thomas Buck Barred by FINRA
- Former Morgan Stanley Broker Matthew Singer Investigated for Unsuitable Options Trading, Barred for Failing to Appear
- Former Ohio Stockbroker Thomas E. Brenner, Jr., Accused of Participating in Nationwide Ponzi Scheme
- Former Southern California Broker William M. Heiden Faces Claims Over Unauthorized Trades for Elderly Clients
- Former Wells Fargo Broker Terrence Puricelli Permanently Barred by Regulators
- Former Wells Fargo Rep Robert Montes Barred by FINRA After Investigation Into the Possible Misuse of Elderly Client Assets
- Going to Court Vs. FINRA Arbitration
- How Can I Tell If My Broker Is Engaged In Unauthorized Trading?
- How Does FINRA Define High-risk Brokers?
- How to Get Your Money Back if You Invested With Michael Oppenheim
- Illinois Investment Adviser Stephen C. Carver Faces Customer and Regulatory Complaints
- Invest in GPB Capital Private Placements at Broker’s Recommendation?
- Investor Advice: Be Wary of All-or-Nothing Options
- Investor Alert: What You Should Ask About Securities-Backed Lines of Credit
- Investor Education: Investment Fraud Victim Recovery Checklist
- Investor Tips: Avoid Being Fooled
- Investor Tips: Protect Your Financial Information
- Investors Warned of Scams Conducted Over Messaging Apps
- Is a Leveraged or Inverse ETF Right for You?
- James Flynn Customers Complain About Real Estate and Annuity Investments
- Louisiana Broker Benjamin Bourgeois Jr. Barred By Finra In Investment Fraud Investigation
- Ma Rosa Linan Abrego Barred by FINRA Over Misappropriation Inquiry
- Maryland Broker John W. Cutshall Barred by FINRA
- Merrill Lynch Fined $7 Million by FINRA
- Meyer Wilson Currently Investigating Accusations Against Former Rockwell Broker Denny Darmodihardjo
- Meyer Wilson Investigates Allegations Against Bennett Scott Broad
- Meyer Wilson Investigates Former Morgan Stanley Broker David Olson Regarding Allegations of Engaging in Undisclosed Outside Business Activities
- Meyer Wilson Investigates Unsuitable Investments Claims against Broker Kevin C. Butler
- Meyer Wilson Investigating Broker Gregg D. Templeton over Allegations of Misrepresentation and Omissions
- Meyer Wilson Investigating Claims Against Ameriprise Financial Broker Jeffrey Krupnick
- Meyer Wilson Investigating Claims Against Broker David Colflesh
- Meyer Wilson Investigating Claims Against Broker Gerald Ohalloran
- Meyer Wilson Investigating Claims Against Broker William Harvey
- Meyer Wilson Investigating Claims Against Dean Mustaphalli
- Meyer Wilson Investigating Claims Against Former Broker Barry Connell
- Meyer Wilson Investigating Claims Against Former Broker Claus Foerster
- Meyer Wilson Investigating Claims Against Former Broker Gary Saitowitz
- Meyer Wilson Investigating Claims Against Former Broker Jay Gruenebaum
- Meyer Wilson Investigating Claims Against Former Broker John Corsi
- Meyer Wilson Investigating Claims Against Former Broker Mark Speakman
- Meyer Wilson Investigating Claims against Former Broker Scott Goldman
- Meyer Wilson Investigating Claims Against Former Broker Tye Williams
- Meyer Wilson Investigating Claims Against Oppenheimer Broker Matthew Giannone
- Meyer Wilson Investigating Claims Against Wells Fargo Broker Robert Giusti
- Meyer Wilson Investigating Claims Involving Former Broker Ken Balser
- Meyer Wilson Investigating Investor Losses in Business Development Companies
- Meyer Wilson Investigating Misrepresentation Claims against Broker Arthur S. Hoffman
- Meyer Wilson Investigating Multiple Stockbroker Fraud Allegations against William Francis Gillis
- Meyer Wilson Investigating Potential Investment Fraud Claims Involving Sean D. Casterline
- Meyer Wilson Investigating Potential Legal Claims Against Worden Capital Management Relating to Excessive and Unsuitable Trading by Stockbroker John Lopinto
- Meyer Wilson Investigating Stockbroker Misconduct Complaints against Broker Hilary Joseph Zimmerman
- Meyer Wilson Principal Courtney Werning’s Leadership Recognized with Appointment to FINRA’s National Arbitration and Mediation Committee
- Meyer Wilson Wins $971,500 FINRA Arbitration on Behalf of Ohio Retirees
- Meyer Wilson Wins Full Investment Losses For Gpb Investor Against Hightower Securities
- Meyer Wilson’s Investigation Into Next Financial Group
- Morgan Stanley Fined $2 Million Over Multiple Violations
- Neal C. Moon Under Investigation for Improper Sales of Private Securities
- Negligence Costs Metlife Securities $25 Million
- New Fiduciary Rule Protection
- New FINRA Rule 2165 Requires Reporting of Suspected Exploitation
- New York Laidlaw & Company Advisor Kevin R. Wilson Facing Investor Complaints Over Substantial Alleged Losses
- News: FINRA Educates Investors by Issuing Smart Beta – What You Need to Know
- NY Broker Michael Fasciglione Faces FINRA Customer Complaints Over Investor Losses
- Ohio Broker Michael Mackay Barred Over FINRA Investigation Into Outside Business Activity
- Only A Small Amount Of Regulatory Investigations Turn Into Disciplinary Actions, FINRA Says.
- Oppenheimer & Co. Sanctioned $2.9 Million in Fines and Other Penalties for Unsuitable Sales
- Oppenheimer & Co. Sanctioned $3.4 Million for Numerous Violations
- Proposed FINRA Rule Would Address Supervision of Brokers Who Pose the Highest Risk to Investors
- Proposed Rule Addresses Finra Arbitration Claims that Go Unpaid
- Protect Your Hard-Earned Money by Learning How Boiler Room Scams Work
- Protecting Yourself from Fake Check Scams
- Red Flags to Look Out for From Your Financial Professional
- San Antonio Broker Derrick Trussell Barred by FINRA for Failing to Comply With Regulatory Investigation Over Outside Business Activities
- Scammers Attempting to Fool Brokerages with Fake Email Transfer Requests
- Scott Taubman: Alleged Misconduct and Investor Implications
- SEC Accuses Thomas E. Andrews of Investor Fraud and Misappropriation of Funds
- SEC Fines Raymond James and Robert W. Baird & Co. $850,000 Over Compliance Failures
- SEC Indicts Former LPL Broker Kerry L. Hoffman on $3.3m Investor Fraud
- SEC Says Merrill Lynch Advisor Marcus Boggs Used $1.7m in Client Funds for Personal Expenses
- Securities America Agrees to Pay Over $1.5 Million in Restitution
- Securities And Investment Fraud Statistics [infographic]
- South Florida Broker-advisor Christopher Hellman Barred by FINRA Over Alleged “Selling Away”
- Stephens Inc. Fined $900,000 by FINRA
- Stockbroker Kyle Benjamin Baker Barred Over Refusal to Cooperate With FINRA
- The Dangers of Fake Online Job Interviews
- The SEC Just Released an Investor Bulletin Explaining the FINRA Arbitration Processes Involved in a Dispute With Your Stockbroker
- There’s No Such Thing as a “Guaranteed” Investment
- Tips to Avoid Viral Disease Stock Scams
- Tips to Protect Your Elderly Loved Ones from Financial Exploitation
- UBS Broker Jose Cornide Hit With Unsuitability, Misrepresentation Complaints
- UBS Broker Nicolas Barrios Barred for Failure to Cooperate With Fraud Investigation
- Understanding Crowdfunding and the Jobs Act
- Understanding the Risks of Data Aggregation
- Utah Lpl Rep Jason Nelson Barred By FINRA
- VALIC Financial Advisors, Inc. Fined $1.75 Million
- Wall Street May Be Chaotic, but That Doesn’t Mean Your Investments Should Be Too
- Wells Fargo Broker-Dealers Ordered to Pay $3.4 Million in Restitution
- What to Know About Bitcoin
- What You Need to Know About Customer Advisory Centers
- What You Need to Know about Financial Designations
Category: General
- “Billionaire Boys Club” Member Arrested for MI Ponzi Scheme After Fleeing to Italy
- “New Breed” of REITs Remains Flawed Despite Changes in Liquidity and Valuation
- “Pump and Dump” Investment Scams Tied to BP Oil Spill
- “Senior Specialist” and Similar Financial Credentials Can Lead to Confusion
- “Lawyer of the Year” by Best Lawyers®
- 2010 Investment Fraud Enforcement Actions Up 51 Percent, Says NASAA
- 2014 “Best Law Firms” List
- 5 Red Flags of Investment Fraud
- 5 Tips to Fight Investment Fraud During the Economic Downturn
- 5 Ways to Protect Your Cryptocurrency From Fraud & Hacking
- 7 Tips to Prepare Your Investments for 2017
- 8 Customer Complaints Accuse Broker Ashley Woodard of Unsuitable Investment Recommendations
- A Review: “The Ponzi Scheme Puzzle: a History & Analysis of Con Artists & Victims”
- AARP Released Results of Study on Differences Between Victims of Fraud and General Population
- Alleged $110 Million Stock Fraud Nets Pepper Pike Man 21 Years in Prison
- Alternative Energy Scams
- Are Mortgage REITs Too Risky?
- Are the Sales of Private Placements an Indication of Brokers Gone Bad?
- Are You Concerned about Your Investment in CNL Healthcare Properties?
- As Concerns for the Environment Grow, Beware of “Green” Investment Schemes
- Attorney Dave Meyer Appears On The Result Podcast To Discuss Investment Loss Case, Securities Arbitration
- Attorney David Meyer Selected to the 2018 List of the Best Lawyers in America©
- Attorney David Meyer to Speak at 2018 Ohio Securities Conference to Discuss Case Against Ohio Ponzi Schemer William Apostelos
- Attorneys David Meyer and Matthew Wilson Named Super Lawyers for 2018
- Attorneys David Meyer, Matthew Wilson, and Michael Boyle Voted to 2017 List of Super Lawyers and Rising Stars
- Attorneys David P. Meyer, Matthew R. Wilson & Michael J. Boyle Honored in 2020 Super Lawyers®
- Aventura, Fl Financial Advisor Izhar Shefer Accused of Unsuitable Investments
- Barclays Capital Inc. Fined $1.3 Million for Extensive Violations and Failures
- Be Wary of Fake Check Scam
- Best Lawyers in America® List 2014
- Bill Calls for Study & Gives Authority to Restrict Arbitration
- Boston Broker David Manor Resigns From Wells Fargo, Faces FINRA Complaint
- Broker Dealers Fail on REITs
- Broker Matthew Buchsbaum Faces Investor Complaints
- Broker-Dealer FTN Financial Securities Corp. Charged With Aiding Sentinel in Fraud
- California Securities America Broker Ronald J. Roach Pleads Guilty for Role in Massive Ponzi Scheme
- CDs Not as Safe as Many Investors Believe
- CEO of Samex Capital Agrees to Plead Guilty in Alleged Ponzi Scheme Case
- Chicago Investment Advisor Umesh Tandon Charged for Investment Fraud
- Christian Radio Host Pat Kiley Indicted on Charges of Investment Fraud
- Citigroup Fined $500k for Failure to Supervise Sales Assistant
- City of Victorville, CA and Underwriter Sold Muni Bonds Based on Inflated Property Valuations
- Committee for the Fiduciary Standard Pushes for Financial Advisers to Sign Fiduciary Oath
- Congress Votes in the Middle of the Night to Give Big Banks Immunity from Lawsuits
- Connecticut Man Pleads Guilty to Securities Fraud in $10 Million Investment Scheme
- Connecticut Ponzi Scheme Results in Ten Year Prison Sentence
- David Lerner Associates to Pay $14m for Unfair Practices in Sale of Apple REIT
- David Meyer Asked to Weigh in on New Ohio Investor Recovery Fund
- David Meyer Named to the 2017 List of ‘the Best Lawyers in America’
- David Meyer to Present at Seminar
- David P. Meyer Assumes Role As PIABA President
- David P. Meyer Co-Authors PIABA Report on FINRA’s Unpaid Reward Problem
- David P. Meyer Co-Authors Updated Study on FINRA Expungements
- David P. Meyer Listed in the Best Lawyers in America (2011)
- David P. Meyer Named to the Best Lawyers in America 2021
- Did Christopher Bond Engage in Unauthorized Trading in Your Account?
- Did Gustavo Miramontes Make Unauthorized and Unsuitable Trades in Your Account?
- Did Indiana-Based Broker Seth Stewart Invest Your Money in Risky Securities?
- Did Michael Chandler of Infinex Investments Inc. Sell You Non-Traded REITs?
- Did Michael May Engaged in Unsuitable Trades in Your Account?
- Did You Lose Money in an Account Managed by Former Cetera Investment Advisers Broker Hui Zhang?
- Did You Lose Money With Former Voya Financial Broker William Johnson?
- Did You Suffer Losses in an Account Managed by Sebastian Wyczawski?
- Do You Understand the Fees Your Broker Is Charging?
- Don’t Fall Prey to Digital “Pump and Dump” Scams
- Don’t Forget About Your Brokerage Account Statement
- Duration – How Interest Rate Hikes Can Affect Your Bond Portfolio
- ETF Investors Face Serious Risk
- ETF Tracking Errors Rising
- Ex-FBI-Agent-Turned-Financial-Advisor and Wife Charged With $1.3m Investment Fraud
- FBI Publishes Warning about Binary Options Fraud
- Federal Court Upholds Dol Fiduciary Duty Rule
- Financial Planners: What Are They and Who Is Regulating Them?
- FINRA Changes Could Make It Harder for Brokers to Hide the past
- FINRA Focuses on Leveraged ETFs in 2013
- FINRA Focuses on Unsupervised Brokers Selling Fraudulent Securities
- FINRA Investigates Whether Investors Understand Derivative-Linked CDs
- FINRA Issues Compliance Guidelines Regarding Use of Blogs and Social Networking Websites
- FINRA Issues Investor Alert About Fraud After Hurricane Florence
- FINRA Issues Warning Against Hot Gold Stock Scams and Gold Investment Schemes
- FINRA Launches New Arbitration Pilot Program for Large Cases of $10m+
- FINRA Offering Senior Investors Free Resources
- FINRA Proposes Eliminating “Inability-To-Pay” Defense
- FINRA Proposes Expanding Registration to Include Broker-Dealers’ “Back Office” Staff
- FINRA Proposes Rule Change to Allow Investors the Option of All-Public
- Finra Proposes to Prohibit Non-regulated Custodians
- FINRA Slams Broker-Dealers on Private Placements, Again
- FINRA Slams LPL Financial With Almost $1 Million Fine
- Finra Statistics Show 2010 Was Favorable to Investors With Arbitration Claims
- Finra to Offer More on Information Available Through BrokerCheck
- FINRA Warns Investors Over Boiler Room Scams
- FINRA Warns of Investment Scams in the Wake of the Japan Tragedy
- Five Investor Protection Tips to Avoid Investment Fraud
- Five Tips to Help Scam-Proof Your Portfolio
- FL Broker Bobby Coburn Barred for Failing to Cooperate With FINRA Investigation Into Unapproved Transactions
- Florida Mortgage Brokers and Attorneys Indicted for Investment Fraud
- Florida Ponzi Schemer Sentenced to Nearly 20 Years in Prison for $21m Fraud
- Following Publication of the PIABA Expungement Study, Co-Authored by Attorney David Meyer, FINRA Withdraws Expungement Proposal
- Former Advisor William Hobby Implicated in 20+ Customer Disputes
- Former Broker Gerald Cocuzzo Pleads Guilty to Securities Fraud
- Former CEO of Frontier Holdings Inc Found Guilty in $7.4m Investment Fraud Case
- Former CEO, Jeffrey Martinovich, of Newport News Investment Firm Guilty of Fraud
- Former Edward Jones Broker James Vincent Marino Accused of Theft From Client
- Former Football Player Pleads No Contest to Nebraska Securities Fraud
- Former Harvard Quarterback Faces SEC Fraud Charges
- Former Lpl Michigan Financial Advisor James Bylenga Barred by FINRA
- Former Manhattan Financial Advisor Elias Herbert Hafen Pleads Guilty to Investment Fraud
- Former Nebraska City Brokers Sentenced in $20m Investment Fraud Case
- Former South Florida Lawyer Sentenced to 50 Years for $1.2b Ponzi Scheme
- Former Triton CEO Found Guilty on 39 Counts for $75m Ponzi Scheme
- Former UBS Adviser Sentenced to More Than 5 Years in Prison for $5.4m Fraud
- Former Visions Securities Stock Broker Charged With Fraud
- Former Wachovia Broker Receives 6.5 Year Sentence for $8.4m Investment Scam
- Former Wells Fargo Rep Robert Montes Barred by FINRA After Investigation Into the Possible Misuse of Elderly Client Assets
- Fort Collins Real Estate Investment Scam Targets Church and AA Members
- Fresno Ponzi Scheme Victims Will Probably Only Receive “Pennies on the Dollar”
- GBP Capital And Its Owners Facing An Onslaught Of Securities Fraud Charges From Regulators
- Gregory Loles Barred From Securities Industry for Swindling Investors Out of $8.7m
- High Costs of Alternative Investments and Managed Mutual Funds Drive Broker Paydays
- High Yield Investment Programs (HYIPs): Ponzi Schemes in the Internet Age
- How Does FINRA Define High-risk Brokers?
- How Investment Fees Can Impact Your Portfolio
- How to Avoid Financial Loss From Unauthorized Trading
- How to Identify and Protect Yourself From Excessive Trading
- Idaho Ponzi Scheme Shows Dark Side of Man Who Preyed on Family and Church Members
- Indiana Investment Watch Launches Investor Protection Campaign
- Indiana Man Lowell Gene Bob Hancher Defrauds Iowans
- Invest in GPB Capital Private Placements at Broker’s Recommendation?
- Investing in Stocks May Be Riskier Than You Think
- Investor Advice: Be Wary of All-or-Nothing Options
- Investor Alert: Be Leery of “Bond-like” Investment Products
- Investor Alert: Watch Out for Chinese Precious Metal, Gold, Silver Scams
- Investor Claims Involving “100 Percent Principal Protected Notes” Soar
- Investor Education: Investment Fraud Victim Recovery Checklist
- Investor Squares Off Against Merrill Lynch Over “Investor Sophistication”
- Investors at Risk: Government Shutdown, SEC Closure Opens Door to Fraud
- Investors Warned of Scams Conducted Over Messaging Apps
- Is Your Broker a Felon?
- Joanne Schneider Withdraws Plea on Ohio Securities Fraud Charges
- JP Morgan Chase Bank Terminates Trevor Rahn After Allegations of Broker Misconduct
- Kansas Lawyer Convicted for Texas Investment Fraud
- Keep Your Investments Safe with These Tips about Safe Securities and Crowdfunding
- KGTA Ponzi Schemers Sentenced for Defrauding Investors $17 Million
- Legitimate Ways to Recover Your Losses
- Life Insurance Investment Scam Targets Deaf
- Life Settlement Securities Scam
- Louisville Broker-advisor Mark T. Lamkin Faces Investor Complaints
- LPL Financial Sued in Classaction Over Variable Annuities
- Ma Rosa Linan Abrego Barred by FINRA Over Misappropriation Inquiry
- Man Charged in Latest Detroit Ponzi Scheme Case
- Man Indicted in Pennsylvania Ponzi Scheme Fails to Mention Previous Convictions
- Man Pleads Guilty in Annuities Ponzi Scheme
- Man Sentenced for Arizona Investment Fraud; Accused of California Ponzi Scheme
- Markets Suffer Historic Losses as Oil Prices Dive Into Negative Territory
- Martin Wegener New England Financial | Michigan Stockbroker Fraud
- Maryland Broker John W. Cutshall Barred by FINRA
- Massachusetts Man, James Massaro, Forged Documents to Steal Investors’ Money in Foreign Investment Fraud Scheme
- Merrill Lynch Broker Charles Kenahan Faces Allegations of Making Unsuitable Investments and Excessive Trading
- Merrill Lynch Broker Heather Weber the Subject of Numerous Customer Complaints
- Meyer Wilson Attorneys Named To 2021 Super Lawyers List
- Meyer Wilson Earns Tier 1 “Best Law Firms” Ranking
- Meyer Wilson Included in List of the Best Lawyers at a Tier 1 Law Firm
- Meyer Wilson Investigates Misconduct Allegations of Former LPL Financial Broker Thomas H. Caniford of North Canton, Ohio
- Meyer Wilson Investigating Claims Against Former Broker Mark Speakman
- Meyer Wilson Investigating Claims Against Former Brokers Wendy Feldman and Peter Doyle
- Meyer Wilson Investigating Claims Against Oppenheimer Broker Matthew Giannone
- Meyer Wilson Listed as a Tier 1 Best Law Firm
- Meyer Wilson Named 2018 Tier 1 Best Law Firm
- Meyer Wilson Named Tier 1 in 2020 “Best Law Firms”
- Meyer Wilson Named to 2022 “Best Law Firms” List
- Meyer Wilson Opens Third Office in Cleveland, Ohio
- Meyer Wilson Partners Earn 2022 Best Lawyers “Lawyer Of The Year” Awards
- Meyer Wilson Speaking Engagement
- Meyer Wilson Wins FINRA Arbitration
- Meyer Wilson Wins Jury Verdict
- Michael J. Boyle
- Michigan Ponzi Schemer Dante Demiro Receives 10 Year Sentence for Investment Fraud
- Minnesota Hedge Fund Managers Charged With Facilitating $3.65b Petters Ponzi Scheme
- Montana Commissioner Releases New Documentary on Investment Fraud
- Morgan Stanley to Pay $1,371,000 in Fines and Restitution for Excessive Markups and Markdowns
- Mormon Church Leader Allegedly Used Leadership Position to Perpetrate $16m Ponzi Scheme, Says SEC
- NASAA Releases 2011 Top Investor Traps and Threats
- New Campaign for Investors Launches
- New Defendant Added in Indictment Alleging $105 Million Ponzi Scheme
- New Rules Allow All Public Panel Option for FINRA Customer Arbitrations
- New SEC Rule Requires Brokers To Stop Calling Themselves “Advisors”
- News: Citco Group Agrees to Pay $125 Million in Settlement
- North Canton Ohio Man William Morgan Sent to Prison for Stealing From Elderly
- NY Daily News Explains Warning Signs of an Investment Fraud Scam
- NY Investment Adviser Ken Starr Charged With Fraud
- OAJ Article
- Ohio Broker Michael Mackay Barred Over FINRA Investigation Into Outside Business Activity
- Ohio Division of Securities February Enforcement Actions
- Ohio Division of Securities Releases New Division Orders and Enforcement Actions
- Ohio Securities Act – The Need for Modernization of Remedies
- Ohio-Based Cedar Brook Financial Partners CEO Have Securities Licenses Suspended
- Oppenheimer & Co. Sanctioned $2.9 Million in Fines and Other Penalties for Unsuitable Sales
- Plan to Trade That Structured Product? Think Again.
- Portland Hedge Fund Manager Yusaf Jawed Guilty in Ponzi Scam
- Potential Hurricane Season Scams
- Pressman Pleads Guilty to $6 Million Ponzi Scheme in Pennsylvania
- Previously Convicted Knoxville Fraudster Heads Back to Prison for Second Investment Scheme
- Problems With Equity-Indexed Annuities Won’t Be Fixed by the Sec
- Prominent Hedge Fund Under Investigation by the SEC and U.S. Attorney
- Protecting Your Loved Ones With Dementia From Financial Abuse
- Raymond James Agrees to Buy Back $300m Worth of Auction-Rate Securities
- Real Estate Investment Scheme Costs Investors $1.6 Million
- Realty Capital Securities Facing Fraud Charges
- Red Flags to Look Out for From Your Financial Professional
- Regulators Warn Investors Against Structured Notes
- Retiring CFTC Judge Exposes Colleague as Biased and Corrupt
- Richmond Man Gets 8 Years for Ponzi Scheme
- SEC Adopts New Net Worth Standard for Accredited Investors
- Sec Approves FINRA Rule Change Expanding Arbitrator Selection Lists
- SEC Attempts to Address Problems With Target-Date Mutual Funds
- SEC Charges Solicitor in Investment Scheme Targeting Deaf Community
- SEC Charges Stifle, Nicolaus & Co and Executive With Defrauding Wisconsin Schools
- SEC Charges Western Pacific Capital Management and Its President With Investment Fraud
- SEC Files Complaint to Halt $300 Million Ponzi Scheme Involving Supposed Gold Mining Investments
- SEC Files First Crowdfunding Complaint
- SEC Files Ohio Lawsuit Naming Former Brokers of World Group Securities
- SEC Fines Raymond James and Robert W. Baird & Co. $850,000 Over Compliance Failures
- SEC Indicts Former LPL Broker Kerry L. Hoffman on $3.3m Investor Fraud
- SEC Looks Into the Marketing of “Principal-Protected” Notes
- SEC Says Merrill Lynch Advisor Marcus Boggs Used $1.7m in Client Funds for Personal Expenses
- SEC Warns Investors of Scammers Impersonating Government Officials
- SEC’s Best Interest Standard Causing Confusion Over Undefined Rules, Vague Language
- SEC’s New Database Streamlines Tips and Complaints Process to Better Protect Investors
- Securities America Agrees to Pay Over $1.5 Million in Restitution
- Securities America Requests Broker-Dealers Be Subpoenaed in Legal Battle Involving Medical Capital Private Placements
- Senate Passes Financial Reform Bill
- Seven Out of Ten Investors Admit They Seldom or Never Read Variable Annuities Prospectuses
- South Carolina Pastor Accused of Multimillion-dollar Ponzi Scheme
- Spongetech Executives Charged With Alleged Securities Fraud
- State of Ohio Teams Up With New York in Securities Fraud Lawsuit Against BP
- States Are Stepping Up With Fiduciary Rules of Their Own
- Stay Alert for Stock Fraud Following Hurricane Harvey
- Super Lawyers® 2014
- Supposedly Simple ETFs Not So Simple to Understand
- Survey: 1 in 5 Over Age 65 Likely to Be Victims of Financial Fraud
- The 10 Most Common Investment Scams
- The CFTC Accuses South Carolina Pastor of Running Ponzi Scheme
- The Dangers of Fake Online Job Interviews
- The Enrique F. Villalba, Jr. Case: Follow the Timeline
- The Grass Isn’t Always Greener, Warns FINRA, Stop ‘Chasing Return.’
- The Hard to Understand “12b-1” Fees May Be Overhauled
- The Importance of Keeping Your Records Updated
- The SEC Just Released an Investor Bulletin Explaining the FINRA Arbitration Processes Involved in a Dispute With Your Stockbroker
- Three Scams to Keep an Eye Out For
- Timothy D. Mays, of Summerville, Accused of Investment Fraud
- Top 10 Warning Signs of Investment Fraud
- Top Ten Warning Signs of Investment Fraud
- Tricks of the Trade: Outsmarting Investment Fraud Now Airing Nationwide
- Two Former Wachovia Employees Charged With Securities Fraud
- UBS Broker John Carolyn Is Slammed with Customer Complaints of Overconcentration in Oil and Gas Investments
- UBS Broker Jose Cornide Hit With Unsuitability, Misrepresentation Complaints
- Understanding Initial Coin Offerings
- Utah Lpl Rep Jason Nelson Barred By FINRA
- VALIC Financial Advisors, Inc. Fined $1.75 Million
- Variable Annuities Are Problematic as Part of Retirement Plans
- Vermillion, OH Man, Richard A. Zakarian, Charged in Self-Directed IRA and Payroll Retirement Money Investment Scam
- View From the Trenches: Investors Should Steer Clear of Cryptocurrency
- Villalba Sentenced to Jail Today; Law Firm Continues Investigation
- Walk to End Alzheimer’s
- Want to Avoid Investment Fraud? Spend Time Choosing Your Adviser
- Warning Signs that May Indicate It’S Time to Fire Your Financial Advisor
- Watch Out for Gold Scams
- Were You Sold Non-Traded REITs by Former Cetera Broker Darryl Ferguson?
- What Happens After a Brokerage Account Holder Dies?
- What Is Being Done to Protect Senior Investors?
- What Seniors Need to Know About Selling Their Life Insurance Policies
- What the Financial Reform Bill’s Whistleblower Program Means for You
- What You Need to Know About Customer Advisory Centers
- What You Need to Know About Excessive Trading Activity Claims
- When the Payments Stop – Getting Help After a Ponzi Scheme
- When Your Advisor Is Too Close for Comfort
- Who’s Most at Risk for Investment Fraud? The Answer May Surprise You.
Category: Holiday Scams
Category: In the News
- 5 Ways to Protect Your Cryptocurrency From Fraud & Hacking
- 8 Customer Complaints Accuse Broker Ashley Woodard of Unsuitable Investment Recommendations
- Ameritas Broker James Anderson Permanently Barred From Securities Industry
- Attorney David Meyer Selected to the 2018 List of the Best Lawyers in America©
- Attorneys David Meyer and Matthew Wilson Named Super Lawyers for 2018
- Attorneys David Meyer, Matthew Wilson, and Michael Boyle Voted to 2017 List of Super Lawyers and Rising Stars
- Attorneys David P. Meyer, Matthew R. Wilson & Michael J. Boyle Honored in 2020 Super Lawyers®
- Aventura, Fl Financial Advisor Izhar Shefer Accused of Unsuitable Investments
- BBB and FINRA Create New Smart Investing Website
- Boca Raton Broker Alan Applebaum Involved in Several Customer Disputes
- Boston Broker David Manor Resigns From Wells Fargo, Faces FINRA Complaint
- Broker Matthew Buchsbaum Faces Investor Complaints
- California Securities America Broker Ronald J. Roach Pleads Guilty for Role in Massive Ponzi Scheme
- Colorado Broker Daniel Todd Levine Barred by FINRA
- Congress Votes in the Middle of the Night to Give Big Banks Immunity from Lawsuits
- David Meyer Asked to Weigh in on New Ohio Investor Recovery Fund
- David Meyer Named to the 2017 List of ‘the Best Lawyers in America’
- David Meyer Selected to the 2019 List of the Best Lawyers in America
- David P. Meyer Assumes Role As PIABA President
- David P. Meyer Co-authors Article On Need For SEC Investor Protection Reforms Under New Administration
- David P. Meyer Co-Authors Updated Study on FINRA Expungements
- David P. Meyer Named to the Best Lawyers in America 2021
- David P. Meyer Shares Insight On Proposed Bill To Ban Mandatory Arbitration Agreements Between Investors And Advisors
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- Did Michael May Engaged in Unsuitable Trades in Your Account?
- Did You Lose Money in an Account Managed by Former Cetera Investment Advisers Broker Hui Zhang?
- Did You Lose Money Investing with Former NYLIFE Securities Broker Michael Norman?
- Did You Lose Money Investing With JP Morgan Broker Edward Turley?
- DOJ Announces Results of Largest National Elder Fraud Sweep
- FINRA Bars Louisiana Advisor Kristian Gaudet Over Alleged Misuse of Client Funds, Failure to Testify
- FINRA Says Complaints About Cybersecurity Breaches Are on the Rise
- FINRA’s Brokercheck Update Helps Prevent Investment Fraud
- FL Broker Bobby Coburn Barred for Failing to Cooperate With FINRA Investigation Into Unapproved Transactions
- Following Publication of the PIABA Expungement Study, Co-Authored by Attorney David Meyer, FINRA Withdraws Expungement Proposal
- Former Broker Michael Szafranski Sentenced for Role in Scott Rothstein Ponzi Scheme
- Former Lpl Michigan Financial Advisor James Bylenga Barred by FINRA
- Former Manhattan Financial Advisor Elias Herbert Hafen Pleads Guilty to Investment Fraud
- Former Mississippi Investment Advisor Anthony Welch Charged With Securities Fraud by SEC
- Former Southern California Broker William M. Heiden Faces Claims Over Unauthorized Trades for Elderly Clients
- Former UBS Advisor Ricardo Turlan Terminated Over Allegations of Unauthorized Trading, Unsuitability
- Former Wells Fargo Rep Robert Montes Barred by FINRA After Investigation Into the Possible Misuse of Elderly Client Assets
- Fort Myers Financial Advisor David Rockwell Facing Client Claims of Alleged Forgery, Fraud & Misappropriation
- Four Advisor Groups to Pay $1.3 Million in Fines After GPB Sales
- Fugitive Eric Bartoli in Custody in the U.S., Court Date Scheduled
- GBP Capital And Its Owners Facing An Onslaught Of Securities Fraud Charges From Regulators
- Indiana Case Highlights Investment Fraud Dangers of Self-Directed IRAs
- Investors Beware of Coronavirus (Covid-19) Pump and Dump Schemes
- Investors Beware of Structured Products
- Investors Warned of Scams Conducted Over Messaging Apps
- JP Morgan Chase Bank Terminates Trevor Rahn After Allegations of Broker Misconduct
- Justice Department Investigating Wealth Management Unit at Wells Fargo
- KGTA Ponzi Schemers Sentenced for Defrauding Investors $17 Million
- Louisiana Broker Benjamin Bourgeois Jr. Barred By Finra In Investment Fraud Investigation
- Ma Rosa Linan Abrego Barred by FINRA Over Misappropriation Inquiry
- Man and Sons Charged With Stealing $18 Million in Mail, Wire Fraud Scheme
- Maryland Broker John W. Cutshall Barred by FINRA
- Merrill Lynch Broker Heather Weber the Subject of Numerous Customer Complaints
- Meyer Wilson Attorney Courtney Werning Helps Couple Recover $100k in Losses
- Meyer Wilson Earns Tier 1 “Best Law Firms” Ranking
- Meyer Wilson Included in List of the Best Lawyers at a Tier 1 Law Firm
- Meyer Wilson Investigating Potential Investment Fraud Claims Involving Sean D. Casterline
- Meyer Wilson Investigating Potential Legal Claims Involving Financial Advisor Richard Braverman of Geneos Wealth Management
- Meyer Wilson Listed as a Tier 1 Best Law Firm
- Meyer Wilson Named 2018 Tier 1 Best Law Firm
- Meyer Wilson Named Tier 1 in 2020 “Best Law Firms”
- Meyer Wilson Named to 2022 “Best Law Firms” List
- Meyer Wilson Partners Earn 2022 Best Lawyers “Lawyer Of The Year” Awards
- Meyer Wilson Partners Earn 2024 Lawyer of the Year Honors from Best Lawyers
- Meyer Wilson Partners Named to 2019 Ohio Super Lawyers List
- Meyer Wilson Partners Named To 2021 Best Lawyers, David Meyer Named Lawyer Of The Year
- Meyer Wilson Principal Courtney Werning Quoted in Wall Street Journal
- Meyer Wilson Wins Full Investment Losses For Gpb Investor Against Hightower Securities
- Michigan Law Firm Meyer Wilson Is Investigating Former Sigma Financial Broker Clark Dee Harris
- Morgan Stanley Loses Appeal of $3.3 Million Finra Arbitration Award
- New Hampshire Regulator Warns of Senior Investment Fraud
- New Rule: The SEC Permits Summary Prospectuses For The Sales Of Variable Annuities
- New York Laidlaw & Company Advisor Kevin R. Wilson Facing Investor Complaints Over Substantial Alleged Losses
- News: Charles Schwab & Co. Fined $2m
- News: Ex-Brokers Sue Morgan Stanley for Whistleblower Suit
- News: FINRA Educates Investors by Issuing Smart Beta – What You Need to Know
- News: Investors Warned of Pyramid Schemes Disguised as Multi-Level Marketing Programs
- News: ITG Charged With Working a Secret Trading Desk and Exploiting Subscriber Information
- News: Meyer Wilson Cautions Against Investment Pitches Linked to Market Downturn
- News: Ponzi Scheme Scammers Penalized for Additional $76 Million
- News: SEC Looks to Stop Scheming Trio Accused of Investment Fraud
- News: The Blackstone Group Advisers Agree to Settle Charges for Failing to Disclose Necessary Information
- News: UBS Puerto Rico Agrees to Settle Supervisory Failure Case With the SEC
- Ohio Broker Michael Mackay Barred Over FINRA Investigation Into Outside Business Activity
- Ohio Investment Manager Charged With Cheating Investors Pleads Guilty
- Ohio Men Plead Guilty in $17 Million Ponzi Scheme
- Ohio National Life Insurance Broker-Dealer Affiliate Sanctioned Over $1.275 Million for Improper Variable Annuity Sales
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- Realty Capital Securities Facing Fraud Charges
- Recent Stock Market Losses May Reveal Unsuitable Investments in Your Portfolio
- RegBI: What Regulation Best Interest Means for Investors | Meyer Wilson Investment Attorneys
- Reverse Churning Exposed: How Investment Advisors Prioritize Profits Over Clients
- SEC Charges 11 Wall Street Firms with $289 Million in Penalties for Failing to Supervise Client Texts
- SEC Indicts Former LPL Broker Kerry L. Hoffman on $3.3m Investor Fraud
- SEC Says Merrill Lynch Advisor Marcus Boggs Used $1.7m in Client Funds for Personal Expenses
- SEC Warns Investors of Scammers Impersonating Government Officials
- Senator Sherrod Brown Takes Weak Regulators To Task For Failing To Look After Main Street Investors
- Top 10 Warning Signs of Investment Fraud
- UBS Broker Jose Cornide Hit With Unsuitability, Misrepresentation Complaints
- UBS Broker Nicolas Barrios Barred for Failure to Cooperate With Fraud Investigation
- Utah Lpl Rep Jason Nelson Barred By FINRA
- Victims of Bernie Madoff May Receive Another $247 Million for Losses
- Woman Claims Goldline Fired Her for Objecting to Scam Tactics
Category: Insurance Fraud
- Are the Sales of Private Placements an Indication of Brokers Gone Bad?
- Are You a Former Client of Ricky Mantei?
- Chicago Broker Bhenoy Dembla Barred by FINRA Over Falsifying Mutual Fund Sales Orders
- Chicago Investment Advisor Umesh Tandon Charged for Investment Fraud
- Committee for the Fiduciary Standard Pushes for Financial Advisers to Sign Fiduciary Oath
- Did You Have an Account Managed by Kevin McCallum of LPL Financial?
- Duration – How Interest Rate Hikes Can Affect Your Bond Portfolio
- Former Broker Donald A. DeVito II Accused of Churning and Unauthorized Trading
- Former Ohio Broker John Schmidt Charged by the SEC With Defrauding Seniors
- Investor Advice: Be Wary of All-or-Nothing Options
- Ohio National Life Insurance Broker-Dealer Affiliate Sanctioned Over $1.275 Million for Improper Variable Annuity Sales
- The 10 Most Common Investment Scams
- What You Need to Know About Customer Advisory Centers
Category: Investment Fraud
- “Exclusive” and “Private” Offers: How to Spot a Scam
- “The Investor Protector” By David P. Meyer Now Available
- $5 Million Ponzi Scheme Defrauds Investors
- $50 Million Ponzi Scheme in Southwest Ohio
- 1st Global Capital and 1st West Capital File for Bankruptcy Amid SEC Fraud Investigation
- 4 Smart Tips for Spotting Retirement Scams
- 7 Customers Issue Complaints Against Broker Katherine Greer Nishnic for Investment Misconduct
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- A Dozen Firms Fined $14.4 Million After Failing to Protect Records From Alteration
- A Note About Crowdfunding and Investment Fraud
- A&O Entities Sentenced to Prison for $100 Million Fraud Scheme
- Abraham Heimann Accused of Investment Unsuitability Among Other Types of Misconduct
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- Allegations of Fraud, Money Laundering Lands Former Ameriprise Advisor Li Lin Hsu Behind Bars
- Alleged $110 Million Stock Fraud Nets Pepper Pike Man 21 Years in Prison
- Alleged Belleville Fraudster Sentenced to 20 Years After Ponzi Scheme
- Alleged Hurricane Katrina Investment Fraud Scam Dupes Montana Investors
- Alleged Investment Fraud Used California PTA to Find Investors
- Alleged Precious Metals Investment Fraud Dupes Investors
- Allison Terlip Faces $817K Unsuitable Investment Allegations
- Alonza Barnett Jr. Barred by Finra After Client Claims Breach of Fiduciary Duty
- An Awful Example of 401k Fraud: Ohio Business Executive Convicted for Embezzlement, Failure to Pay Over Taxes
- An Investment Fraud Guilty Plea for Former Alaska Man Donald Lee Smith
- Another LPL Financial Advisor Charged With Defrauding Clients
- Anthony Vincent Ferrone Banned From Securities Industry Due to Unsuitable Unit Investment Trusts
- Apple REIT 10 & Other REITs: What Are the Risks?
- Apple REIT Ten: Center of FINRA Complaint With David Lerner Associates
- Are You Concerned about Your Investment in CNL Healthcare Properties?
- Are You Making Yourself Vulnerable to Investment Fraud?
- Are You Wrapped Up in an Unsuitable Wrap-fee Program?
- Arizona Brokers, Jeffrey Stebbins and Corbin Jones, Charged With Investment Fraud
- Arizona Man Indicted for Alleged Real Estate Investment Fraud
- As Energy Markets Swoon, Many MLP Investors Suffer Huge Losses
- Attorney David P. Meyer Named One of the “Best Lawyers in America®”
- Aventura, Fl Financial Advisor Izhar Shefer Accused of Unsuitable Investments
- Avoiding Scams During the Holidays: Part One of a Six-Part Meyer Wilson Blog Series
- Avoiding Senior Investment Fraud: When to Get Help With Your Finances
- Barred Broker Jason Figueroa Has Been Accused of Fraud, Unsuitable Investments and Negligence
- Basic Steps for Reviewing an Investment and Avoiding Investment Fraud
- Be Mindful of Investment Seminars as a Retiree
- Be Wary of Fake Check Scam
- BestVest Investments, Ltd. Fined Over Sale of Non-Traditional ETFs
- Beware of “Happiness Letters” From Your Brokerage Firm
- Beware of Gold Investment Advertising That Plays on Your Fears
- Big Game Review: an Investment Fraud Lawyer’s Playbook
- Bitcoin: The Latest Trend in Ponzi Schemes
- Boca Raton Broker Alan Applebaum Involved in Several Customer Disputes
- Borrowing Money From Clients Gets Former Wells Fargo Broker Shane Springman Discharged
- Boston Broker Cornelius Peterson Fired for Allegations of Misappropriating Client Assets
- Boston Broker David Manor Resigns From Wells Fargo, Faces FINRA Complaint
- Broker Brian Royster Terminated for Allegedly Borrowing Money From Clients
- Broker Bruce Barber Terminated from Firm for Selling Unapproved Private Securities
- Broker Daniel Doogs Suspended by FINRA, Terminated by Employer
- Broker Daniel Peltier Pays Fine for Market Manipulation of Over-the-Counter Stock
- Broker James Edward Lyons Accused of Unauthorized Trading
- Broker Jeffrey T. Kluge Under Investigation for Unauthorized Trading
- Broker Jeffrey Wilson Under Investigation for Excessive Trading, Unsuitable Recommendations
- Broker Joel Kassewitz Has Been Accused of Providing Unsuitable Investment Advice
- Broker John Carolyn Has Been Accused of Overconcentration in Energy Securities
- Broker John Crook Hit With Complaints of Excessive Trading, Unsuitability, Others
- Broker Kee Chan Settles Mortgage-Backed Securities Fraud Allegations With SEC
- Broker Matthew Buchsbaum Faces Investor Complaints
- Brokers Barred or Suspended From Securities Industry Often Reinvent Themselves
- California and Ontario Men Bilk Investors in $90m Investment Resort Scheme
- California Investment Fraud Involved Elder Abuse Charges
- California Investment Scam Results in Securities Fraud Charges and Prison Time
- California Man Steals $300,000 From Bay Area Investors
- California Securities America Broker Ronald J. Roach Pleads Guilty for Role in Massive Ponzi Scheme
- Can I Get My Money Back After Investment Fraud?
- Carolyn Willis Grant Charged for Investment Fraud in North Carolina
- Cetera Advisor Broker Jaret Mutter Is in the Spotlight for Allegations of Unsuitable Investments
- Cetera Broker-Dealers Agree to $3.3 Million Settlement for Overcharging Clients
- Chad D. Hornday Accused of Selling Away, Barred by FINRA
- Christopher Sinkula of Janney Montgomery Accused by Customer of Making Unsuitable Investments
- Claude Darrell Mcdougal Gets 6+ Years for Securities Fraud
- Cleveland’S John Phillip Correnti Barred from Securities Industry by FINRA
- Co-Founder of Global One Sentenced to 25 Years for Investment Fraud
- College Students Vulnerable to Online Investment Scams
- Colorado Broker Daniel Todd Levine Barred by FINRA
- Common “Red-flag” Sales Pitches
- Congress Votes in the Middle of the Night to Give Big Banks Immunity from Lawsuits
- Coronavirus Market Crash – Legal Options To Recover Investment Losses For Retirees
- Cory R. Brunell Investigated for Claims of Unsuitable Recommendations
- Criminal Charges Filed in Ohio Ponzi Scheme Against Kgta Principal Ken Grant
- Crowdfunding and Online Stock Markets for Startups Opens Door for Investment Fraud
- Crypto-Fraud Alert: Ohio-Based Cryptocurrency Scammer Pleads Guilty to Wire Fraud
- Danny Scott Hood Barred for Variable Annuity Scam
- David Krumrey Terminated from Oppenheimer for Rule Violations
- David Lerner Associates Accused of Misleading Vulnerable Investors
- David Lerner Associates’ Apple REIT 8 Also in Trouble
- David P. Meyer Assumes Role As PIABA President
- David Williams Pleads Guilty to $4 Million Real Estate Investment Scam
- Defrauding Investors by Inflating Fund Performance
- Delaware AG Warns of Investment Scams Through Social Media
- Details Emerge Regarding FINRA Lawsuit Against David Lerner
- Detroit-Area Man Charged in Investment Scam
- Did Ameriprise Fail to Safeguard Your Money?
- Did Former Investors Capital Corp. Financial Advisor Donnie Ingram Make Unsuitable Investment Recommendations for You?
- Did Gustavo Miramontes Make Unauthorized and Unsuitable Trades in Your Account?
- Did Irvine-based Financial Advisor Howard Hsieh, Of Cetera Investment Services, Invest Your Money In Risky Non-traded Real Estate Securities?
- Did Mark Former Make Unauthorized Trades or Recommend Unsuitable Investments on Your Account?
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- Did Michael May Engaged in Unsuitable Trades in Your Account?
- Did You Lose Money in an Account Managed by Andrew Marschall?
- Did You Lose Money in an Account Managed by Former Cetera Investment Advisers Broker Hui Zhang?
- Did You Lose Money in an Account Managed by Tony Brookfield?
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- Did You Lose Money Investing With JP Morgan Broker Edward Turley?
- Did You Lose Money Investing with Peter Butler?
- Did You Lose Money on Short Sales With Cantor Fitzgerald?
- Did You Overpay for Mortgage Bonds?
- Did You Suffer Losses After Investing in GWG L Bonds with Anthony John Pitta or Another Broker?
- Did Your Broker Engage in Unsuitable Options Trading on Your Behalf?
- Did Your Financial Advisor Recommend GDP Capital Funds?
- Did Your Investment Adviser From W.A. Smith Financial Group Sell You Risky, Non-Traded Real Estate Securities?
- Do I Need to Have My Paperwork?
- Dodging FINRA Investigation Gets Former Broker James Knee Barred
- DOJ Announces Results of Largest National Elder Fraud Sweep
- Don’t Fall Prey to Digital “Pump and Dump” Scams
- Duration – How Interest Rate Hikes Can Affect Your Bond Portfolio
- Edina Woman Pleads Guilty in Ponzi Scheme
- Eight People Sentenced to Prison and Ordered to Pay Nearly $130 Million in Restitution
- Elderly Investors: Do You Know Where Your Money Is Going?
- Emergency Freeze Against Today’s Growth Consultants For Running $75m Ponzi Like Scheme
- Failure to Disclose Commissions Earned: Company Allegedly Fraudulent
- Failure to Supervise Can Result in Broker-dealer Liability in “Selling Away” Cases
- Fake Fort Wayne Pastor Bradley Collins Lured Investors in $30m Scam
- Fake Investment Broker Jonathan Neal Leber Charged With Stealing $2.4m From Clients in Indiana & Kentucky
- FBI Publishes Warning about Binary Options Fraud
- FBI Reports: Investment Fraud Schemes and Investment Losses on the Rise in 2012
- Fifth Third Securities Sanctioned by FINRA for Failures Relating to Variable Annuity Exchanges
- Financial Advisor David Miller Has Multiple Investment Fraud Claims Filed Against Him
- Financial Advisor Peter Holler Terminated and Suspended for Selling Clients Woodbridge Ponzi Scheme
- Financial Fraud Is on the Rise According to Officials, Scamming Billions of Dollars From Investors
- FINRA Bars Former Raymond James Broker Taek Chong After Complaints of Overpayment of Commissions
- Finra Bars Former U.S. Bancorp Broker John Wade for Converting Client Funds
- FINRA Bars Former UBS Broker John Maccoll for Evading Investigation Over Alleged Multi-million Dollar Fraud Scheme
- FINRA Bars Louisiana Advisor Kristian Gaudet Over Alleged Misuse of Client Funds, Failure to Testify
- FINRA Changes Could Make It Harder for Brokers to Hide the past
- FINRA Fines Morgan Stanley Smith Barney LLC $5 Million for Supervisory Failures
- FINRA Has Barred Former Morgan Stanley Broker Darrell Rideaux After Allegations of Selling Away
- FINRA Issues Investor Alert About Fraud After Hurricane Florence
- FINRA Offering Senior Investors Free Resources
- FINRA Proposing a Wider Net to Capture Churning Brokers
- FINRA Pursues Claim Against David Lerner Associates
- FINRA Pushes along Proposals to Crack down on Unpaid Arbitration Awards and High-Risk Brokers
- FINRA Warns Investors Over Boiler Room Scams
- FINRA’s Brokercheck Update Helps Prevent Investment Fraud
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- First Financial Equity Corporation Broker Jeffrey Sigman Fired Amidst Regulatory Investigation
- Five Investment Fraud Phrases Commonly Used to Seduce Investors
- Five Men Now Convicted in High-Yield Investment Scam
- Following Publication of the PIABA Expungement Study, Co-Authored by Attorney David Meyer, FINRA Withdraws Expungement Proposal
- Former Advisor Jason Cox Sentenced for Defrauding Investors
- Former Advisor William Hobby Implicated in 20+ Customer Disputes
- Former Allstate Broker Philip Leonard Grasso Accused of Misappropriating Funds From Elderly Investors
- Former Berthel Fisher & Company Broker Mason Gann Suspended by FINRA
- Former Broker Bryan Wayne Anderson in Prison, Barred by SEC
- Former Broker Evan Kochav Sentenced to 8 Years
- Former Broker Gerald Cocuzzo Pleads Guilty to Securities Fraud
- Former Broker Michael Szafranski Sentenced for Role in Scott Rothstein Ponzi Scheme
- Former Broker Scott Newsholme Sued by SEC for Stealing More than $1 Million from Clients
- Former Cambridge Broker Ralph Savoie Criminal Charged for Defrauding Investors in Ponzi Scheme
- Former Cleveland Broker James Unger Charged with Embezzlement
- Former Edward Jones Advisor Jason W. Cox Accused of Stealing Money From Disabled Woman
- Former Edward Jones Broker Fired and Expelled from Industry over Allegations He Misused Elderly Client’s Funds
- Former Florida Broker Alex Herrera Barred by FINRA Over Allegations of Client Theft
- Former Florida Broker Lisa Lowi Barred for Unsuitable Recommendations
- Former Harvard Quarterback Faces SEC Fraud Charges
- Former HD Vest Broker Donna Barnard Facing Multiple Complaints for Selling Customers Woodbridge Ponzi Scheme
- Former HD Vest Broker Jerry Raines Investigated for Allegations Involving Woodbridge Mortgage Investment Fund
- Former J.P. Morgan Adviser Receives 5-year Prison Sentence
- Former Jefferies & Co Broker-Dealer Jesse Litvak Charged With Investment Fraud
- Former LPL Broker Charles Caleb Fackrell Pleads Guilty to Securities Fraud
- Former LPL Broker Leslie Rhodes Koonce Permanently Barred from Securities Industry for Selling Unapproved Investments
- Former LPL Financial Broker Melvin Case Charged with Exploitation of the Elderly
- Former LPL Financial Broker Sanders Spangler Pulls a No-Show in Regulatory Investigation, Gets Barred by FINRA
- Former LPL Financial Broker Sonya Camarco Sued by SEC for Allegations of Client Theft
- Former Lpl Financial Broker Suhail Khan Barred by FINRA
- Former Lpl Michigan Financial Advisor James Bylenga Barred by FINRA
- Former Manhattan Financial Advisor Elias Herbert Hafen Pleads Guilty to Investment Fraud
- Former Merrill Lynch Broker Christopher Hibbard Barred for Dodging Regulatory Investigation – Faces Multiple Allegations of Client Theft
- Former Merrill Lynch Broker Ethan De Naray Fired Amidst Allegations of Unauthorized Trading
- Former Merrill Lynch Broker Faces Multiple Pending Disputes Alleging Unauthorized Trading
- Former Merrill Lynch Broker Frank Zito Discharged Over Allegations of Selling Away
- Former Michigan Broker Ernest Romer Sued by SEC Over Multi-million Dollar Securities Fraud
- Former Morgan Stanley Broker Charles Dixon Barred by Regulators Over Failure to Comply with Investigation
- Former Morgan Stanley Broker Cornelius Peterson Barred
- Former Morgan Stanley Broker Kevin Woolf Barred for Noncompliance with FINRA Investigation
- Former Morgan Stanley Broker Matthew Singer Investigated for Unsuitable Options Trading, Barred for Failing to Appear
- Former Morgan Stanley Broker Michael Ralby Barred for Declining to Comply With Regulatory Investigation
- Former Morgan Stanley Broker Peter Doyle Barred by FINRA
- Former Morgan Stanley Broker Randall Hayes Under Investigation for Allegedly Selling Inverse and Leveraged ETFs
- Former Morgan Stanley Broker Stewart Malloy the Subject of Regulatory Action and Customer Complaints
- Former NBA Trainer Stephen Gordon Gets 50 Months for Fraud
- Former Northwestern Mutual Investment Services Broker Donnell Noah Bowen Barred After Failing to Cooperate With an Investigation
- Former Officer Implicated by Consultant in Bixby Securities Fraud
- Former Ohio Financial Advisor Mark Speakman Sentenced for Defrauding Clients More than $1.1 Million
- Former Ohio Financial Advisor Sam Aziz Loses Securities License For Excessive Trading
- Former Ohio Stockbroker Thomas E. Brenner, Jr., Accused of Participating in Nationwide Ponzi Scheme
- Former Oppenheimer & Company Broker David Krumrey Was Suspended by FINRA for Failing to Produce Information
- Former Oppenheimer Broker Leslie Flaum Faces Allegations of Failing to Supervise the Sale of Investments to Customers
- Former PFS Investments Broker Daniel Winger Consents to Findings of Client Theft
- Former Philidelphia Eagles Linebacker to Pay the Price after Ripping off Investors in $10 Million Fraud Scheme
- Former RBC Broker Patrick Hudson Suspended for Broker Misconduct
- Former Royal Alliance Broker Gary Basralian Admits to Stealing Millions From Clients
- Former Royal Alliance Broker Gary Basralian Arrested for Allegedly Stealing More Than $2 Million From Clients
- Former Securities America Broker Michael D Jackson Suspended and Fined by Regulators for Violation of Several Securities Regulations Target Publish Date
- Former Signator Investors, Inc. Broker Joseph Pratte Permanently Barred From Securities Industry by Regulators
- Former Southern California Broker William M. Heiden Faces Claims Over Unauthorized Trades for Elderly Clients
- Former Stifel Nicolaus Broker of Boardman, Ohio Stephen Hurtuk Faces Allegations of Selling Speculative, Unsuitable Investments
- Former Stifel, Nicolaus & Company Broker Mitchell Yanow Barred for Stealing Customer Funds
- Former Stock Broker Jerry Lou Guttman Barred for Selling Unapproved Securities to His Customers
- Former Stockcross Broker Herbert Voss Barred for Not Cooperating With Regulatory Investigation
- Former UBS Broker Lorenzo Esteva Barred during Investigation of Unauthorized Trading
- Former Voya Broker Martin Stancik Hit with Mail Fraud Allegations
- Former Wells Fargo Broker Jeffrey Palish Accused of Stealing Elderly Client’s Funds
- Former Wells Fargo Broker John Schmidt Accused of Misappropriation, Theft of Client Funds
- Former Wells Fargo Broker Ramon Herrera Under Regulatory Suspension for Misconduct
- Former Wells Fargo Broker Terrence Puricelli Permanently Barred by Regulators
- Former Wells Fargo Financial Advisor Timothy J. Scherwa Accused of Misconduct
- Former Wells Fargo Rep Robert Montes Barred by FINRA After Investigation Into the Possible Misuse of Elderly Client Assets
- Fort Myers Financial Advisor David Rockwell Facing Client Claims of Alleged Forgery, Fraud & Misappropriation
- Four Men in Ohio Convicted of Defrauding 500 Investors
- Four Ohio Men Indicted in $7m Investment Scheme
- Framingham Man Sentenced to 102 Months for Alleged Ponzi Scheme
- GBP Capital And Its Owners Facing An Onslaught Of Securities Fraud Charges From Regulators
- Geneos, Securities America, and PNC Settle with SEC, Will Pay Clients More than $12 Million
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- Get-Rich Quick Scams to Look Out for in 2017
- Glen Arm Man Indicted for $14 Million Maryland Investment Scam
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- Government Research Shows Broker Misconduct Costing Investors Up to $17 Billion a Year
- Grand Jury Indicts Gilbert Resident for Alleged Investment Scheme
- Gregg D. Caplitz Sentenced for Alleged $1.3 Million Hedgefund Fraud
- Gregory Russell Convicted in Alleged Colorado Investment Fraud
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- Hedge Fund Fraud Was “Brazen Web of Lies”
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- Hilliard Lyons Broker Christopher Bennett Ordered to Pay $445,000 in Damages to Customer in FINRA Arbitration
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- How Social Isolation Increases the Risk of Investment Fraud
- How to Identify and Protect Yourself From Excessive Trading
- How to Recover Losses in FIP
- How to Spot Affinity Fraud
- How To Stay Protected Against Investment Fraud
- Illinois Investment Adviser Stephen C. Carver Faces Customer and Regulatory Complaints
- Indiana Case Highlights Investment Fraud Dangers of Self-Directed IRAs
- Indiana Investment Scams Land Terre Haute Man in Jail
- Indiana Man Admits to Investment Fraud Schemes in Iowa and Colorado
- Indianapolis Advisor Sentenced to 10 Years in Federal Prison for $1.35 Million Securities Fraud
- Individuals May Qualify for Significant Monetary Awards Under the SEC’s Whistleblower Program
- Investigate Before You Invest
- Investment Complaints Against Dexter Thomas: Investors Seeking Over $9.3 Million in Damages
- Investment Fraud and Elder Financial Abuse
- Investment Fraud and Sleight of Hand: Recognizing the Signs
- Investment Fraud Attorney Explains Easy Way to Gauge Your Risk Level
- Investment Fraud Attorneys at Meyer Wilson Receiving Calls From Victims in Madison Timber Alleged Ponzi Scheme
- Investment Fraud Indictment for Spectrum Pet Care’s Frank Renick
- Investment Losses and Fraud: What You Should Know
- Investment Misconduct: Who Is Most Vulnerable?
- Investment Scammer Jason Michael Meyer Sentenced in $11m Scheme
- Investment Scams In 2020 You Could Be Targeted By
- Investor Education: Investment Fraud Victim Recovery Checklist
- Investors at Risk: Government Shutdown, SEC Closure Opens Door to Fraud
- Investors Beware of Coronavirus (Covid-19) Pump and Dump Schemes
- Investors Lose Millions in Scheme by Former UBS Broker
- Investors Should Be Leary of Forex Trading Promoters
- Investors Should Be Wary of Professional Designations Used by Securities Salespeople
- Investors Warned of Scams Conducted Over Messaging Apps
- Is WW Capital III Investment Fund in Cleveland a Ponzi Scheme? I Hope I Am Wrong
- Is Your Advisor Skimming Funds from Your Investment Accounts?
- Is Your Broker Cheating You with Loaded Mutual Funds?
- Is Your Broker Lining His Pockets with Your Retirement Money?
- Is Your Broker on the Sec Naughty List?
- Is Your Brokerage Firm Protecting Your Hard-earned Money?
- Ismail Elmas Pleads Guilty to Wire Fraud
- J.P. Morgan Securities, LLC Fined $1.25 Million Over Failure to Appropriately Screen or Fingerprint Employees
- Jasen M. Snelling Convicted in Indiana Investment Fraud Case
- Jason Salmon Faces $999K in Complaints
- JJB Hilliard, WL Lyons Broker Michael Barnett Facing Allegations of Investment Misconduct
- John Mattera Pleads Guilty to Investment Fraud in New York
- John Yin’s Alleged Investor Betrayal: Safeguarding Your Future
- Jon Harder, Former Sunwest Management CEO, Accused of Investment Fraud Scheme
- Joseph Gennaco Pleads Guilty in Insurance Investment Fraud Case
- Joseph Sterling of Geneos Wealth Management the Subject of Customer Complaints for Making Unsuitable Recommendations
- Jury Convicts Brighton, Michigan Men John Bravata and Antionio Bravata in $50m Real Estate Investment Fraud Scheme
- Justice Department Focuses on Investment Scam Victims in New Summits
- Kansas Lawyer Convicted for Texas Investment Fraud
- Kim Dee Isaacson Permanently Barred by FINRA
- Kyong Ho Kim Sentenced to 8 Years for Alleged Investment Fraud
- Larry Charles Wolfe Under Investigation for Broker Misconduct
- Lee Michael Harrison Indicted on Three Counts of Wire Fraud
- Life Insurance Investment Scam Targets Deaf
- Linkedin Scam Spurs Warning to Investors About Social Media Investment Fraud
- Lori Ann Artzberger Barred From Securities Industry
- Louisiana Broker Benjamin Bourgeois Jr. Barred By Finra In Investment Fraud Investigation
- LPL Financial REIT Investigation Is a Reminder to Do Your Research
- LPL Fined Again over Sales of Alternative Investments
- Making Sense of Investment Fraud Accusations
- Man Charged With Investment Fraud for “Buckets of Money” Seminar
- Man in Alleged Real Estate Investment Scam Set for Trial in December
- Man Sentenced for Arizona Investment Fraud; Accused of California Ponzi Scheme
- Martin Wegener New England Financial | Michigan Stockbroker Fraud
- Maryland Broker John W. Cutshall Barred by FINRA
- Maryland Man Faces Ponzi Scheme Charges; Investors Lost Millions
- Massachusetts Securities Division Files Complaint Against LPL Financial and Its Broker Roger S. Zullo
- Massive Investment Fraud Targets African-American Investors
- Merrill Lynch Broker James Lowther Accused of Unauthorized Trading
- Merrill Lynch, Pierce, Fenner & Smith Inc. Fined $42 Million for Misleading Customers
- Meyer Wilson Attorney Courtney Werning Helps Couple Recover $100k in Losses
- Meyer Wilson Attorneys Investigate Allegations Involving Greg Campbell
- Meyer Wilson Investigates Accusations Involving Broker Marc W. Evans
- Meyer Wilson Investigates Allegations Against Bennett Scott Broad
- Meyer Wilson Investigates Allegations Against the LJM Preservation and Growth Fund
- Meyer Wilson Investigates Allegations Made Against Jack Allen Scherbert
- Meyer Wilson Investigates Broker Thomas Riquier for Allegations of Defrauding Investors
- Meyer Wilson Investigates Claims of Broker Misconduct against Samuel Rankin
- Meyer Wilson Investigates Former Broker Bryan Anderson for Allegedly Employing Ponzi Scheme
- Meyer Wilson Investigates Former Morgan Stanley Broker David Olson Regarding Allegations of Engaging in Undisclosed Outside Business Activities
- Meyer Wilson Investigates Former Morgan Stanley Broker Thomas Meier
- Meyer Wilson Investigates Former Morgan Stanley Broker Timothy Gibbons for Allegations of Unsuitable Recommendations to Elderly Clients
- Meyer Wilson Investigates Former Nylife Securities Llc Broker Alan New for Selling Clients Woodbridge Mortgage Investment Fund
- Meyer Wilson Investigates Oppenheimer’s Vista Fund II
- Meyer Wilson Investigates Potential Investment Fraud Claims Against Jeffrey N. Cadan
- Meyer Wilson Investigates Unsuitable Investments Claims against Broker Kevin C. Butler
- Meyer Wilson Investigates Wunderlich Securities, Inc. Financial Advisor Jack Mcbride for Alleged Unauthorized and Unsuitable Transactions
- Meyer Wilson Investigating Annuity Fraud Claims Against Broker Roger S. Zullo
- Meyer Wilson Investigating Broker Gregg D. Templeton over Allegations of Misrepresentation and Omissions
- Meyer Wilson Investigating Claims Against Ameriprise Financial Broker Jeffrey Krupnick
- Meyer Wilson Investigating Claims Against Broker Andrew Scheirer
- Meyer Wilson Investigating Claims Against Broker Christopher Bond
- Meyer Wilson Investigating Claims Against Broker David Colflesh
- Meyer Wilson Investigating Claims Against Broker Erryn Barkett
- Meyer Wilson Investigating Claims Against Broker Gerald Ohalloran
- Meyer Wilson Investigating Claims Against Broker Howard Brous
- Meyer Wilson Investigating Claims Against Broker Samuel Koltun
- Meyer Wilson Investigating Claims Against Broker Walter Marino
- Meyer Wilson Investigating Claims Against Broker William Harvey
- Meyer Wilson Investigating Claims Against Dean Mustaphalli
- Meyer Wilson Investigating Claims Against Former Broker Barry Connell
- Meyer Wilson Investigating Claims Against Former Broker Gary Saitowitz
- Meyer Wilson Investigating Claims Against Former Broker Jay Gruenebaum
- Meyer Wilson Investigating Claims Against Former Broker Jesse Litvak
- Meyer Wilson Investigating Claims Against Former Broker John Corsi
- Meyer Wilson Investigating Claims Against Former Broker Mark Speakman
- Meyer Wilson Investigating Claims against Former Broker Scott Goldman
- Meyer Wilson Investigating Claims Against Former Broker Tye Williams
- Meyer Wilson Investigating Claims Against Oppenheimer Broker Matthew Giannone
- Meyer Wilson Investigating Claims Involving Former Broker Ken Balser
- Meyer Wilson Investigating Former Broker / Advisor Steven Fonda for Unauthorized Trading
- Meyer Wilson Investigating Former Ohio SA Stone Wealth Broker Terminated for Selling Away
- Meyer Wilson Investigating Misrepresentation Claims against Broker Arthur S. Hoffman
- Meyer Wilson Investigating Multiple Stockbroker Fraud Allegations against William Francis Gillis
- Meyer Wilson Investigating NYC REIT Sales
- Meyer Wilson Investigating Overconcentration Allegations Against Margaret Lech-Loubet
- Meyer Wilson Investigating Potential Investment Fraud Claims Involving Sean D. Casterline
- Meyer Wilson Investigating Potential Investment Loss Claims Involving Alleged Misconduct by Financial Advisor John J. Maloney III
- Meyer Wilson Investigating Potential Investment Misconduct Claims Involving Financial Advisor David Howard Fagenson
- Meyer Wilson Investigating Potential Legal Claims Against Worden Capital Management Relating to Excessive and Unsuitable Trading by Stockbroker John Lopinto
- Meyer Wilson Investigating Potential Legal Claims Involving Financial Advisor Richard Braverman of Geneos Wealth Management
- Meyer Wilson Investigating Stockbroker Misconduct Complaints against Broker Hilary Joseph Zimmerman
- Meyer Wilson Is Investigating Aegis Capital Corp. Broker Dominick Diorio Regarding Allegations of Misconduct
- Meyer Wilson Is Investigating Ameriprise Financial Services Broker James Kujawski for Allegations of Misconduct
- Meyer Wilson Is Investigating Broker Scott Palmer Regarding Customer Disputes Alleging Overconcentration
- Meyer Wilson Is Investigating Former Newbridge Securities Corporation Broker Brian Berger for Allegations of Fraud and Other FINRA Rule Violations
- Meyer Wilson Is Representing Investors in Claims Involving Columbus Broker Craig Sutherland
- Meyer Wilson Is Representing Victims Of The Optionsellers.com Catastrophic Loss Event
- Meyer Wilson Is Taking Calls From Clients of David N. Adams
- Meyer Wilson Law Firm Contacted by Victims of Alleged Ponzi Scheme Run by Former Pennsylvania Stockbroker Patricia S. Miller
- Meyer Wilson Law Firm Investigating Alleged Misconduct by Now-Former Merrill Lynch Financial Advisor John M. James
- Meyer Wilson Law Firm Investigating Claims Involving Stockbroker Kirsten Flynn Hawkins
- Meyer Wilson Named to 2022 “Best Law Firms” List
- Meyer Wilson Representing Investors in Annuity Misrepresentation Case
- Meyer Wilson Representing Victims of the Enviro Board Investment Scheme
- Meyer Wilson Securities Attorneys Looking Into Allegations Against Broker Ronald Rothchild
- Meyer Wilson Teams Up With Pittsburgh Law Firm of Rosen Louik & Perry, P.C. To Represent Victims of the Alleged Ponzi Scheme Involving Broker Patricia Miller
- Meyer Wilson Wins $971,500 FINRA Arbitration on Behalf of Ohio Retirees
- Meyer Wilson Wins Jury Verdict
- Meyer Wilson’s Investigation Into Next Financial Group
- Michael P. Spolar Faces Charges of Investment Unsuitability
- Michigan Law Firm Meyer Wilson Is Investigating Former Sigma Financial Broker Clark Dee Harris
- Michigan-Based Broker John Loveland is the Subject of Two Pending Customer Complaints
- Missouri Cattle Investment Scheme Milks Investors for $8 Million
- More Guilty Pleas in Provident Royalties, Inc. Investment Fraud Case
- More Victims Expected to Come Forward in Case Involving Former Western International Securities Brokers SIAS and Chichester
- Morgan Lewis Arford Facing Allegations of Unsuitable Oil and Gas Investments
- Multimillion-Dollar Ponzi Scheme Targets Seniors and Lifelong Friends
- NE Ohio Investment Advisor Accused of $7 Million Ponzi Scheme
- Neal C. Moon Under Investigation for Improper Sales of Private Securities
- New FINRA Rule 2165 Requires Reporting of Suspected Exploitation
- New Hampshire Regulator Warns of Senior Investment Fraud
- New Jersey Investment Scheme Results in Big Losses for 62-Year-Old Delaware Woman
- New Jersey Ponzi Scheme Involving $880 Million Results in Two Guilty Pleas
- New List of Top Investor Threats Released
- New Nationwide Collaborative Effort to Prevent Elder Investment Fraud
- New Ponzi Schemes Uncovered Weekly
- New York Laidlaw & Company Advisor Kevin R. Wilson Facing Investor Complaints Over Substantial Alleged Losses
- News: Citco Group Agrees to Pay $125 Million in Settlement
- News: Former Merrill Lynch and Smith Barney Investor Given Extra Jail Time
- News: George Bussanich Accused of Defrauding Investors
- News: Investors Warned of Pyramid Schemes Disguised as Multi-Level Marketing Programs
- News: Ponzi Scheme Scammers Penalized for Additional $76 Million
- News: SEC Looks to Stop Scheming Trio Accused of Investment Fraud
- News: The SEC Alleges Edward Jones Overcharged Customers on Municipal Bonds
- Non-Profits and Charities Burned by Investment Fraud
- Notice to Investors: Watch Out for Scams That Target Immigrants
- Nutracea CEO Faces Securities Fraud Charges in Arizona
- NY Broker Michael Fasciglione Faces FINRA Customer Complaints Over Investor Losses
- NY Investment Adviser Ken Starr Charged With Fraud
- Ohio Broker Michael Mackay Barred Over FINRA Investigation Into Outside Business Activity
- Ohio Financial Advisor Receives 17.5-year Prison Sentence for Fraud
- Ohio Investment Fraud Law Firm Continues Investigation Into Potential Recovery for Victims of Brenda Ashcraft’s Alleged Investment Fraud
- Ohio Investment Manager Charged With Cheating Investors Pleads Guilty
- Ohio Man Indicted in Alleged $40 Million Black Diamond Ponzi Scheme
- Ohio Men Indicted for Allegedly Defrauding Investors Out of $17 Million
- Ohio Men Plead Guilty in $17 Million Ponzi Scheme
- Ohio Ponzi-Schemer Glen Galemmo Says ‘Fear of Failure’ Led Him to Steal From His Investors
- Orlando Man Terry Scott Hyder Gets Prison for Defrauding Elderly Out of Savings in NC FL
- PBS Documentary “The Retirement Game” Slams Financial Brokers, Advisers
- Pennsylvania Broker Fined $200,000 for Selling Unsuitable Investment
- Phoenix Financial Advisor Ray Thomas Brown Guilty for Investor Fraud
- Ponte, Rivernider, and Seneca Plead Guilty in Two Investment Scams
- Ponzi Scheme Allegedly Victimized Over 400 People
- Ponzi Scheme Fraudsters Drawn to Virtual Currencies
- Ponzi Scheme Victims Still Waiting While SEC and SIPC Argue
- Ponzi Schemes Continue to Destroy the Financial Lives of Americans Every Day
- Portland Wells Fargo Advisor Eric Neidermeyer Facing New Complaint Over Investor Losses, Risky Investments
- Powell’s Missing Millions Sparks Investment Fraud Investigation
- President Obama Addresses Securities Fraud and Penalties
- Private Placement Investments in the Hot Seat
- Proposed Bill Would Make Sure Defrauded Investors Don’t Get Stiffed
- Proposed Law Could Mean Greater Recovery for Ponzi Scheme Victims
- Proposed Rule Addresses Finra Arbitration Claims that Go Unpaid
- Protect Your Hard-Earned Money by Learning How Boiler Room Scams Work
- Protect Your Savings, Review Your Statements Yearly: National Estate Planning Week
- Protecting Your Retirement Account From Investment Fraud
- Protecting Yourself from Fake Check Scams
- Protecting Yourself From Online Investment Scams
- Raymond James Broker Thomas Whitmeyer O’Brien Is the Subject of a Customer Complaint
- Real Estate Group Allegedly Stole, Forged, and Embezzled Investors’ Money
- Recent Stock Market Losses May Reveal Unsuitable Investments in Your Portfolio
- Recidivist Con Artist Gets Prison for Affinity Fraud Ponzi Scheme
- Red Flags to Look Out for From Your Financial Professional
- Resisting High-Pressure Investment Fraud
- Retired NBA All-Star Loses Nearly $86m in Alleged Investment Fraud
- Rick Konecny Investigated for Unsuitable Investments, Unauthorized Trading & Overconcentration
- Roseville Man Pleads Guilty to Ponzi Scheme
- Roughly 20% of Oppenheimer Advisers Cited for Misconduct
- San Antonio Broker Derrick Trussell Barred by FINRA for Failing to Comply With Regulatory Investigation Over Outside Business Activities
- Scammers Attempting to Fool Brokerages with Fake Email Transfer Requests
- SEC Accuses Atlanta Marketing Company Zhunrize and CEO Jeff Pan of Running a $100m Pyramid Scheme
- SEC Accuses Former Michigan Broker Lewis J. Hunter of Fraud
- SEC Accuses Thomas E. Andrews of Investor Fraud and Misappropriation of Funds
- SEC Alleges Owner/Manager of BC Capital Group Hid More Than $100m in Investment Losses From Clients
- SEC Charges California and Illinois Based Hedge Fund Managers With Investment Fraud
- SEC Charges Citigroup and Morgan Stanley Nearly $6 Million for Misleading Investors
- SEC Charges Transamerica Entities $97 Million over Faulty Investment Models
- SEC Considers Allowing Forced Arbitration to Ban Securities Class Actions
- SEC Files Pyramid Scheme Charges Against Internet Marketing Company Eadgear Inc.
- SEC Freezes Assets of Massachusetts Advisor Gregg Caplitz
- SEC Indicts Former LPL Broker Kerry L. Hoffman on $3.3m Investor Fraud
- SEC Investor Alert: the Risks of Investing in Marijuana-related Companies
- SEC Issues Investor Alert on Affinity Fraud
- SEC Issues Warning over Paid-to-Click Scams
- SEC Says Merrill Lynch Advisor Marcus Boggs Used $1.7m in Client Funds for Personal Expenses
- SEC Shuts down Reported ICO Scam
- SEC Warning: Unregulated Cryptocurrency Exchanges Place Investors at Risk
- SEC Warns Investors of Scammers Impersonating Government Officials
- SEC Warns Investors of Social Media Schemes Such as Twitter, Facebook, & Linkedin
- SEC, FINRA Offer 5 Tips to Review Your Investment Plan at Year End
- SEC: Wedbush Pays $250k for Failing to Supervise Barred Broker Timary Delorme
- SEC’s Best Interest Standard Causing Confusion Over Undefined Rules, Vague Language
- Securities America Broker Hector May Fired Amidst Allegations He Stole From Clients
- Securities And Investment Fraud Statistics [infographic]
- Self-Directed IRAs: Too Good to Be True?
- Selling Investors Woodbridge Mortgage Investment Funds Gets Ny Life Securities Broker Joel Flaningan Terminated
- Senior Investment Fraud Threat Increasing Warns Securities Regulators
- Seniors Face Increased Risk for Financial Exploitation During Covid19 Isolation
- Serial Fraudster James Rivera for Green Energy Investment Scam Defrauding Investors
- Setting Aside Time to Avoid Investment Fraud
- Sham Business Used Telemarketing Credit Card Protection Scam to Target Elderly Victims, Reaped Millions
- Six Men Indicted in Nevada Over Fraudulent Investments Promoted Through Malom Group
- Six Ways to Become a More Informed Investor and Avoid Investment Fraud
- Sixth Circuit Court of Appeals Upholds $120 Million Judgment Against Oil Fraudster for Selling Unregistered Securities in the Form of Promissory Notes
- South Carolina Man Charged in Alleged Silver Investment Scam
- South Florida Broker-advisor Christopher Hellman Barred by FINRA Over Alleged “Selling Away”
- Southern Arizona Man Indicted for Investment Fraud
- Spongetech Executives Charged With Alleged Securities Fraud
- Stark County Financial Advisor Convicted on 53 Felony Counts for Operating $1.7m Ponzi Scheme
- States Are Stepping Up With Fiduciary Rules of Their Own
- Stay Alert for Stock Fraud Following Hurricane Harvey
- Steven Knuttila Investigated for Unsuitability and Poor Investment Advice
- Steven Luftschein under Investigation for Alleged Unauthorized Trading, Other Stockbroker Misconduct
- Study Reveals 90 Percent of Expungements Are Granted in Stockbroker Arbitration Cases
- Tennessee-Based Broker Thomas Lawrence Faces Pending Stockbroker Misconduct Complaint
- Texas Father and Son Plead Guilty in Investment Fraud Case
- Texas Man Charged in Ponzi Scheme by the SEC
- Texas Tech Coach Accused of Investment Fraud Related to Hedge Fund
- The 10 Most Common Investment Scams
- The Aftermath of a Ponzi Scheme Collapse: Liability of Brokerage Firms
- The Better Business Bureau Offers Three Strategies to Prevent Investment Fraud
- The Gap in Regulatory Coverage for Registered Investment Advisors
- The Investment Fraud Attorneys at Meyer Wilson Are Investigating Claims and Speaking to Victims of Philip Incorvia’s Alleged Ponzi Scheme
- The Real Dangers of Offshore Investment Scams
- The SEC Cracks Down on Penny-Stock Fraud
- There Is a 75% Chance One of These Deceptive Practices Is Affecting You
- There’s Never a “Free Lunch”
- There’s No Such Thing as a “Guaranteed” Investment
- Think You’re Too Young/Smart/Wealthy to Be a Victim of Investment Fraud? You’re Wrong.
- Thomas Caniford Pleads Guilty, Sentenced to 12 Years for Hedge Fund Fraud
- Three Scams to Keep an Eye Out For
- Three Ways Con Artists Use Psychology to Scam Investors
- Timothy D. Mays, of Summerville, Accused of Investment Fraud
- Tips to Protect Your Elderly Loved Ones from Financial Exploitation
- To Whom Do I Write My Check?
- Todd Ryman Accused of Recommending Unsuitable Private Investment Fund
- Top Tips to Stop Elder Financial Fraud
- Two Former Brokers Barred for Their Alleged Roles in Pension Fund Scandal, Top Official Navnoor Kang Charged With Fraud
- UBS Broker Jose Cornide Hit With Unsuitability, Misrepresentation Complaints
- UBS Broker Nicolas Barrios Barred for Failure to Cooperate With Fraud Investigation
- Understanding Crowdfunding and the Jobs Act
- Understanding Investments in Private Equity
- Understanding the Difference Between Discretionary & Non-Discretionary Accounts
- Understanding the Risks of Data Aggregation
- Unregistered Broker Fraud May Be on the Rise, Reports USA Today
- Unsuitable Energy Securities Endorsed by Jeffrey Randolph Wilson
- Update on Misconduct Claims Against Vito Balsamo
- Update: Ohio Law Firm of Meyer Wilson Hired by Former Clients of Ohio Stockbroker Christopher Todd Wendel
- Utah Lpl Rep Jason Nelson Barred By FINRA
- Vermont Man Pleads Guilty in Movie Investment Fraud Case Wire Fraud
- Villalba Sentenced to Jail Today; Law Firm Continues Investigation
- Vincent Singh Arrested for $20 Million Affinity Fraud Targeting Indian Fijian Community
- Vodka Investment Scam in Missouri Results in Hefty Fine for Barred Investment Advisor
- Wall Street May Be Chaotic, but That Doesn’t Mean Your Investments Should Be Too
- Warning Signs that May Indicate It’S Time to Fire Your Financial Advisor
- Warning to Investors: SIPC Provides Limited Protection
- Warning to Investors: Watch Out for High-Yield CD Offers
- Washington-Area Financial Advisor Who Faked Suicide Charged With Fraud, Stealing Retired Client’s IRA
- Wells Fargo Broker-Dealers Ordered to Pay $3.4 Million in Restitution
- Were You Pressured to Invest in Securities You Didn’t Understand?
- What Are the Signs of a Nutraceutical Stock Scam?
- What Are the Warning Signs of Bait and Switch Investment Fraud?
- What to Do When a Friend Tries to Pressure You Into Investment Fraud
- What We Can Learn From the Alleged Goldline International Scam
- When Your Advisor Is Too Close for Comfort
- Who Are the Victims of a Ponzi Scheme?
- Why Investment Scam Complaints Are Up
- Why Senior Investment Fraud Often Goes Unreported
- Why We Fall – The Psychology of “Yes”
- Wife Is Liable to Victims After Ponzi-Schemer Husband Commits Suicide
- Wilfred Azar Pleads Guilty in $7 Million Bond Scheme
- William H. Merriam IV Barred from Securities Industry by FINRA after Broker Forgery Allegations
- Wunderlich Broker Jack Mcbride Under Investigation for Unsuitable ETFs
- Xue Heu Sentenced for $1m Investment Fraud Schemes
Category: Investor Information
- 7 Tips to Prepare Your Investments for 2017
- AARP Released Results of Study on Differences Between Victims of Fraud and General Population
- Are Brokerages and Advisors Doing Enough to Protect Seniors?
- Are the Sales of Private Placements an Indication of Brokers Gone Bad?
- Committee for the Fiduciary Standard Pushes for Financial Advisers to Sign Fiduciary Oath
- Congress Votes in the Middle of the Night to Give Big Banks Immunity from Lawsuits
- Defrauding Investors by Inflating Fund Performance
- Did You Lose Money in an Account Managed by Tony Brookfield?
- Do You Know When to Change Your Variable Annuity?
- Do You Understand the Fees Your Broker Is Charging?
- Duration – How Interest Rate Hikes Can Affect Your Bond Portfolio
- Energy Investors Continue to Lose Money in 2017; Investors May Be Able to Recover Their Losses in FINRA Arbitration
- Federal Court Upholds Dol Fiduciary Duty Rule
- FINRA Changes Could Make It Harder for Brokers to Hide the past
- FINRA Issues Investor Alert About Fraud After Hurricane Florence
- FINRA Issues Warning over Non-Lawyer Arbitration Representatives
- FINRA Offering Senior Investors Free Resources
- FINRA Pushes along Proposals to Crack down on Unpaid Arbitration Awards and High-Risk Brokers
- FINRA Warns Investors Over Boiler Room Scams
- Former Broker Evan Kochav Sentenced to 8 Years
- How Does FINRA Define High-risk Brokers?
- How to Identify and Protect Yourself From Excessive Trading
- How to Recover Losses in FIP
- Investor Advice: Be Wary of All-or-Nothing Options
- Investor Education: Can You Retire Comfortably?
- Investor Education: Investment Fraud Victim Recovery Checklist
- Is a Leveraged or Inverse ETF Right for You?
- Is Your Advisor Skimming Funds from Your Investment Accounts?
- Is Your Broker Cheating You with Loaded Mutual Funds?
- Is Your Broker Lining His Pockets with Your Retirement Money?
- Is Your Broker Making You Broker?
- Is Your Broker on the Sec Naughty List?
- Is Your Financial Advisor Committing Malpractice?
- Keep Your Investments Safe with These Tips about Safe Securities and Crowdfunding
- Legitimate Ways to Recover Your Losses
- Majority of Investment Frauds Are Unreported
- Meyer Wilson Attorney Courtney Werning to Present at Piaba Annual Meeting
- Meyer Wilson Investigating Investor Losses in Business Development Companies
- Meyer Wilson Investigating Potential Legal Claims Against Worden Capital Management Relating to Excessive and Unsuitable Trading by Stockbroker John Lopinto
- Need Cash and Considering a Stock-based Loan? First, Consider the Risks
- New Campaign for Investors Launches
- New Fiduciary Rule Protection
- Ponzi Schemes Continue to Destroy the Financial Lives of Americans Every Day
- Protect Your Hard-Earned Money by Learning How Boiler Room Scams Work
- Recent Stock Market Losses May Reveal Unsuitable Investments in Your Portfolio
- RegBI: What Regulation Best Interest Means for Investors | Meyer Wilson Investment Attorneys
- SEC Charges Transamerica Entities $97 Million over Faulty Investment Models
- SEC Investor Alert: the Risks of Investing in Marijuana-related Companies
- SEC Issues Warning About Cryptocurrencies, IRA Fraud
- SEC Issues Warning over Paid-to-Click Scams
- SEC Shuts down Reported ICO Scam
- SEC Warns Investors of Scammers Impersonating Government Officials
- Stay Alert for Stock Fraud Following Hurricane Harvey
- The 10 Most Common Investment Scams
- The Importance of Keeping Your Records Updated
- The SEC Just Released an Investor Bulletin Explaining the FINRA Arbitration Processes Involved in a Dispute With Your Stockbroker
- There’s No Such Thing as a “Guaranteed” Investment
- Three Scams to Keep an Eye Out For
- Tips for Automatically Saving for Retirement
- Tips to Avoid Viral Disease Stock Scams
- Tips to Protect Your Elderly Loved Ones from Financial Exploitation
- Understanding Initial Coin Offerings
- Unsuitable Recommendations for Purchasing Class B Shares
- Victims of Bernie Madoff May Receive Another $247 Million for Losses
- Wall Street May Be Chaotic, but That Doesn’t Mean Your Investments Should Be Too
- Warning Signs that May Indicate It’S Time to Fire Your Financial Advisor
- What Happens After a Brokerage Account Holder Dies?
- What You Need to Know About Customer Advisory Centers
- What You Need to Know about Financial Designations
- When Your Advisor Is Too Close for Comfort
Category: Investor Legislation
- “Billionaire Boys Club” Member Arrested for MI Ponzi Scheme After Fleeing to Italy
- Attorney Warns of Crowdfunding Fraud From Online Boiler Rooms
- Congress Votes in the Middle of the Night to Give Big Banks Immunity from Lawsuits
- Congress Works to Prevent Elder Financial Fraud
- Is Your Adviser a “Registered Investment Adviser” or a “Broker-Dealer”? (The Answer Matters)
- Proposed Law Could Mean Greater Recovery for Ponzi Scheme Victims
- SEC Makes Recommendations on How to Improve Advisor Oversight
- Want Great Returns? Win a Seat in Congress.
Category: Ismail Elmas
Category: Library
- 5 Common Persuasion Tactics Used by Investment Scam Artists
- 5 Tips for Avoiding Affinity Fraud
- 7 Things You Might Not Know About Securities Mediation
- A Big Name Firm Doesn’t Mean Little Risk
- A Closer Look at Non-traded REITs
- Aftermath of a Ponzi Scheme Collapse
- Annuities Have Been a Cause of Concern for Investors and Regulators
- Bait-and-switch Advertising Tactics and Gold Investment Fraud
- Be Aware of Common Investment Fraud Tactics and “Red Flags”
- Can a Healthy Brain Help You Avoid Investment Scams as You Age?
- Choosing the Right Investment Professional
- Criminal Investment Schemes Aren’t the Only Risk Senior Investors Face
- Don’t Make the Mistake of Believing Bond Funds Are Without Risk
- Examples of Real-life Investment Fraud
- Experienced Investors Not Immune to Investment Fraud
- Fact Vs. Fiction: Who’s Really at Risk of Becoming a Victim of Investment Fraud?
- FINRA Securities Arbitration: Why It’s Mandatory & What’s Involved
- Four Common Investor Problems Reported to FINRA
- Have You Been Asked to Keep a Hot Investment to Yourself?
- How a Ponzi Scheme Manages to Look Legitimate to Victims
- How Fraudsters Sell You on an Investment Scam
- How Investment Fraud Con Artists Get You to Part With Your Cash
- How the Trend Toward Local Business Could Lead You to Investment Fraud
- How to Recognize a Ponzi Scheme
- Important Tips for Avoiding Gold Coin Investment Fraud
- Investment Fraud Targets Internet Users
- Investment Scam Tactics to Watch Out for
- Investments in Limited Partnerships Can Be Complex & Risky
- Is There Ever Really Such a Thing as a “Free Lunch”?
- Keep Good Records in Case of a Dispute
- More About Risk Tolerance and Investment Misconduct
- Most Notorious Ponzi Schemes of All Time
- One of the Worst Things You Can Do When You Suspect Investment Fraud
- Pre-ipo Offerings Carry High Risks
- Recognizing the Signs of Senior Investment Fraud in a Loved One
- Registration Requirements for Securities, Brokerage Firms & Investment Professionals
- Researching Investment Companies
- Resisting the Siren Call of High-yield Investment Products
- Saying No to Senior Investment Fraud
- Senior Investment Fraud, Financial Decisions, and the Aging Brain
- Senior Investors Need to Watch Out for Common Practices Used by Scam Artists
- Should You Trust Your Financial Professional’s Credentials? Regulators Say: Maybe Not.
- Six Ways to Avoid an Investment Scam
- Smart Tips for Hiring a Financial Advisor
- Stockbroker Vs. Investment Adviser: Do You Really Know the Difference?
- Supporting the LGBTQ Community
- Survey Evaluates the Behavior of Older Investors in Relation to Risk
- The Downside of Equity-indexed Annuities
- The Lure of “Phantom Riches”
- The Origin of Ponzi Schemes
- Three Easy Habits to Avoid Online Investment Fraud
- Understand the Type of Annuity You Are Purchasing
- Warning About Oil and Gas Investment Fraud
- What Do You Really Know About Your Investment Advisor?
- What Has the Madoff Scandal Taught Us?
- What Is a Variable Annuity?
- What Is Misrepresentation?
- What Really Constitutes an Appropriate Investment Recommendation?
- When Hard Times Hit, Don’t Give In To Investment Fraud
- Why Are Ponzi Schemes So Prevalent?
- Why Brokers Might Fail to Disclose Information
- Why Investment Losses Happen and What to Do if You Suspect Fraud
- Why Pre-Retirees Are Susceptible to Investment Fraud
- Your Investment Loss May Not Have Been Your Fault
Category: Mail Fraud
Category: Meet the Firm
Category: News
- “The Investor Protector” By David P. Meyer Now Available
- 1st Global Capital and 1st West Capital File for Bankruptcy Amid SEC Fraud Investigation
- 5 Ways to Protect Your Cryptocurrency From Fraud & Hacking
- 8 Customer Complaints Accuse Broker Ashley Woodard of Unsuitable Investment Recommendations
- Another LPL Financial Advisor Charged With Defrauding Clients
- Apostelos Saga Continues, Ohio Couple’s Ponzi Scheme Trial Delayed
- Are You a Former Client of Ricky Mantei?
- As PIABA President, David P. Meyer Backs Pro-investor Agenda To Oppose SEC “Finder” Rule, Improve FINRA’s Brokercheck
- Attorney Courtney Werning Named Principal At The Meyer Wilson Law Firm
- Attorney David Meyer Runs for “Girls on the Run” 5k
- Attorneys David Meyer and Matthew Wilson Named Super Lawyers for 2018
- Attorneys David P. Meyer, Matthew R. Wilson & Michael J. Boyle Honored in 2020 Super Lawyers®
- Barclays Capital Inc. Fined $1.3 Million for Extensive Violations and Failures
- Boca Raton Broker Alan Applebaum Involved in Several Customer Disputes
- Boston Broker David Manor Resigns From Wells Fargo, Faces FINRA Complaint
- California Securities America Broker Ronald J. Roach Pleads Guilty for Role in Massive Ponzi Scheme
- City of Victorville, CA and Underwriter Sold Muni Bonds Based on Inflated Property Valuations
- David Meyer Asked to Weigh in on New Ohio Investor Recovery Fund
- David Meyer Discusses Phil Mickelson Insider Trading Investigation on WTVN Radio
- David Meyer Named to the 2017 List of ‘the Best Lawyers in America’
- David Meyer Selected to the 2019 List of the Best Lawyers in America
- David Meyer Shares How To Protect Against Investment Fraud On Fresh Off The Vine
- David P. Meyer Assumes Role As PIABA President
- David P. Meyer Co-Authors Updated Study on FINRA Expungements
- David P. Meyer Named to the Best Lawyers in America 2021
- David P. Meyer Shares Insight On Proposed Bill To Ban Mandatory Arbitration Agreements Between Investors And Advisors
- Deutsche Bank Securities Inc. Fined $12.5 Million by FINRA
- Did Gustavo Miramontes Make Unauthorized and Unsuitable Trades in Your Account?
- Did Indiana-Based Broker Seth Stewart Invest Your Money in Risky Securities?
- Did Michael Chandler of Infinex Investments Inc. Sell You Non-Traded REITs?
- Did You Lose Money With Former Voya Financial Broker William Johnson?
- Did You Suffer Losses in an Account Managed by Sebastian Wyczawski?
- Did Your Investment Adviser From W.A. Smith Financial Group Sell You Risky, Non-Traded Real Estate Securities?
- Don’t Fall Prey to Digital “Pump and Dump” Scams
- FBI Warns of Get-Rich-Quick Schemes
- FBI Warns of Increase in IRS Impersonation Scams
- Federal Court Upholds Dol Fiduciary Duty Rule
- FINRA Fines Ameriprise Financial $850,000 for Supervisory Failures
- FINRA Fines Morgan Stanley Smith Barney LLC $5 Million for Supervisory Failures
- FINRA Issues Investor Alert About Fraud After Hurricane Florence
- FINRA Warns Investors Over Boiler Room Scams
- FL Broker Bobby Coburn Barred for Failing to Cooperate With FINRA Investigation Into Unapproved Transactions
- Former Attorney Received the Longest Sentence Ever for Insider Trading
- Former Broker John Steven Blount Sentenced to Over 19 Years
- Former Head of Coastal Investment Advisors Michael Donnelly Sentenced to Prison
- Former J.P. Morgan Adviser Michael Oppenheim Admits to Stealing $22m From Clients
- Former J.P. Morgan Adviser Receives 5-year Prison Sentence
- Former Manhattan Financial Advisor Elias Herbert Hafen Pleads Guilty to Investment Fraud
- Former UBS Advisor Ricardo Turlan Terminated Over Allegations of Unauthorized Trading, Unsuitability
- Former Wells Fargo Rep Robert Montes Barred by FINRA After Investigation Into the Possible Misuse of Elderly Client Assets
- Fort Myers Financial Advisor David Rockwell Facing Client Claims of Alleged Forgery, Fraud & Misappropriation
- Four Men in Ohio Convicted of Defrauding 500 Investors
- GBP Capital And Its Owners Facing An Onslaught Of Securities Fraud Charges From Regulators
- Geneos, Securities America, and PNC Settle with SEC, Will Pay Clients More than $12 Million
- Hiring a Financial Professional
- Houston Businessman Sentenced to 5 Years in Prison for Investment Fraud That Impacted 300+ Victims
- How Individual Investors Can Guard Against Excessive Fees and Self-Serving Brokers
- Investment Attorney David Meyer Becomes COAJ President
- Investment Attorneys File FINRA Complaint Against Jeffrey Kelly
- Investment Fraud Claims Filed Against Shimson Plotkin
- J.P. Morgan Securities Broker Robert Owen Klein Subject of Multiple Customer Complaints
- Jace Beard Wins 2023 Meyer Wilson the Importance of Personal Finance Education Scholarship
- JP Morgan Chase Bank Terminates Trevor Rahn After Allegations of Broker Misconduct
- KGTA Ponzi Schemers Sentenced for Defrauding Investors $17 Million
- Louisville Broker-advisor Mark T. Lamkin Faces Investor Complaints
- Ma Rosa Linan Abrego Barred by FINRA Over Misappropriation Inquiry
- Malachite Capital LP Being Investigated For Investment Losses
- Markets Suffer Historic Losses as Oil Prices Dive Into Negative Territory
- Maryland Broker John W. Cutshall Barred by FINRA
- Massachusetts Securities Division Files Complaint Against LPL Financial and Its Broker Roger S. Zullo
- Merrill Lynch Broker Heather Weber the Subject of Numerous Customer Complaints
- Meyer Wilson Attorney Courtney Werning Helps Couple Recover $100k in Losses
- Meyer Wilson Attorneys Named To 2021 Super Lawyers List
- Meyer Wilson Included in List of the Best Lawyers at a Tier 1 Law Firm
- Meyer Wilson Investigating Potential Legal Claims Against Worden Capital Management Relating to Excessive and Unsuitable Trading by Stockbroker John Lopinto
- Meyer Wilson Listed as a Tier 1 Best Law Firm
- Meyer Wilson Named 2018 Tier 1 Best Law Firm
- Meyer Wilson Named Tier 1 in 2020 “Best Law Firms”
- Meyer Wilson Named to 2022 “Best Law Firms” List
- Meyer Wilson Named to Super Lawyers 2023 List
- Meyer Wilson Partners Named to 2019 Ohio Super Lawyers List
- Morgan Stanley Loses Appeal of $3.3 Million Finra Arbitration Award
- New Campaign for Investors Launches
- New Rule: The SEC Permits Summary Prospectuses For The Sales Of Variable Annuities
- New SEC Rule Requires Brokers To Stop Calling Themselves “Advisors”
- News: Charles Schwab & Co. Fined $2m
- News: FINRA Educates Investors by Issuing Smart Beta – What You Need to Know
- News: Meyer Wilson Cautions Against Investment Pitches Linked to Market Downturn
- Northeast Ohio Broker Geoffrey W. Nehrenz Sentenced to Nearly 5 Years
- OH Grand Jury Charges Former Investment Advisor Jeff Kelly for Ponzi Scheme After FL Arrest
- Ohio Men Plead Guilty in $17 Million Ponzi Scheme
- Ohio Registered Investment Adviser Charged With Federal Securities Fraud
- Ohio Stockbroker Pleads Guilty to Investment Fraud Scam
- Oppenheimer & Co. Sanctioned $2.9 Million in Fines and Other Penalties for Unsuitable Sales
- Portland Wells Fargo Advisor Eric Neidermeyer Facing New Complaint Over Investor Losses, Risky Investments
- Raymond James Fined $17 Million for Systemic Anti-Money Laundering Compliance Failures
- San Antonio Broker Derrick Trussell Barred by FINRA for Failing to Comply With Regulatory Investigation Over Outside Business Activities
- SEC and FINRA Fine Merrill Lynch
- SEC Fines Raymond James and Robert W. Baird & Co. $850,000 Over Compliance Failures
- SEC Issues Warning About Cryptocurrencies, IRA Fraud
- SEC: Wedbush Pays $250k for Failing to Supervise Barred Broker Timary Delorme
- Securities America Agrees to Pay Over $1.5 Million in Restitution
- Senator Enlists Regulators to Help Pass Senior Financial Protection Bill
- Senator Sherrod Brown Takes Weak Regulators To Task For Failing To Look After Main Street Investors
- South Florida Broker-advisor Christopher Hellman Barred by FINRA Over Alleged “Selling Away”
- Stark County Financial Advisor Convicted on 53 Felony Counts for Operating $1.7m Ponzi Scheme
- States Are Stepping Up With Fiduciary Rules of Their Own
- Tampa Investment Firm Equialt Accused Of Running 170m Ponzi Scheme
- The Debate Continues Over Whether Life Settlements Are Really Securities
- Top 10 Warning Signs of Investment Fraud
- Were You Sold Non-Traded REITs by Former Cetera Broker Darryl Ferguson?
Category: Ohio Cases
- Apostelos Couple Pleads “Not Guilty” in $70 Million Ponzi Scheme Case
- Apostelos Saga Continues, Ohio Couple’s Ponzi Scheme Trial Delayed
- Douglas E. Cowgill Pleads Guilty to Fraud
- Former Ohio Broker Bryan Carnahan Faces Misconduct Allegations
- Former Ohio State Representative Peter Beck Found Guilty on 13 Counts
- Four Men in Ohio Convicted of Defrauding 500 Investors
- Four Ohio Men Indicted in $7m Investment Scheme
- John Bullar to Pay $6.2 Million in Restitution for Ponzi Scheme
- Meyer Wilson Investigating Larry S. Werbel Investment Fraud Allegations
- Nationwide to Pay $8 Million Over Variable Annuity Failures
- New Details Emerge in Dayton, Ohio Ponzi Scheme Case
- Ohio Men Indicted for Allegedly Defrauding Investors Out of $17 Million
- Ohio Securities Act – The Need for Modernization of Remedies
Category: Ponzi Schemes
- $41m Ponzi Style Investment Scheme Looked to Leverage ATM Sales
- $5 Million Ponzi Scheme Defrauds Investors
- $50 Million Ponzi Scheme in Southwest Ohio
- 10 Years after Bernie Madoff Arrest: A Look at the Largest Ponzi Scheme in History
- Alleged Panama City Ponzi Scheme Promised 12 Percent Returns
- Alleged Propagator of 20 Year NY Ponzi Scheme Sentenced
- Apostelos Couple Pleads “Not Guilty” in $70 Million Ponzi Scheme Case
- Arnett Waters, of Milton, MA, Barred From Securities Industry for Rare Coin Ponzi Scam
- As I Predicted Last Year, Oscar Villarreal’s WW Capital Partners Fund Appears to Be a Ponzi Scheme
- Bitcoin: The Latest Trend in Ponzi Schemes
- BMO Harris Offers to Settle for $16m in Connection With Minnesota Ponzi Scheme
- CFTC Charges Perlman and Iglobal With Defrauding Deaf Investors in Commodity Pool Ponzi Scheme
- Connecticut Ponzi Scheme Results in Ten Year Prison Sentence
- Criminal Charges Filed in Ohio Ponzi Scheme Against Kgta Principal Ken Grant
- David Allen Ponzi Scheme Collaborators, Alex Dowlatshahi and Christopher Mills, to Turn Over $766k
- Des Plaines Man Pleads Guilty to Defrauding Muslim Community in $40 Million Ponzi Scheme
- Detroit Money Manager Bluestein Barred From Securities Industry
- Did You Invest With Morgan Stanley Broker Shawn E. Good?
- Dundee Township Illinois Men Sentenced in Ponzi Scam
- Edward May Pleads Guilty to $35 Million Ponzi Scheme
- Emergency Freeze Against Today’s Growth Consultants For Running $75m Ponzi Like Scheme
- Ex-NBA Player and CEO C. Tate George Charged in Real Estate Ponzi Scheme
- FBI Investigates Investment Broker at School
- Financial Fraud Is on the Rise According to Officials, Scamming Billions of Dollars From Investors
- First of Three People Charged With Investment Fraud Pleads Guilty
- Florida Court Orders Philip Milton to Pay for $28.4m Commodity Pool Ponzi Scheme
- Florida Resident Sentenced for Purported $10 Million Ponzi Scheme
- Foreign Currency Ponzi Scheme in North Carolina
- Former Broker John Steven Blount Sentenced to Over 19 Years
- Former Broker Michael Szafranski Sentenced for Role in Scott Rothstein Ponzi Scheme
- Former Dearborn Man Arrested on Charges of Investor Fraud
- Former Hawaiian Political Candidate Returns Hawaii for Investment Scam Enter Guilty Plea
- Former NFL Player and Former Bank Exec Arrested for Securities Fraud
- Former Ohio Stockbroker Thomas E. Brenner, Jr., Accused of Participating in Nationwide Ponzi Scheme
- Former Philidelphia Eagles Linebacker to Pay the Price after Ripping off Investors in $10 Million Fraud Scheme
- Former South Florida Lawyer Sentenced to 50 Years for $1.2b Ponzi Scheme
- Former Tilly Swamp Pastor Pleads Guilty to Cheating Church Members in Ponzi Scam
- Former Utah Scoutmaster Sentenced to 10 Years in Prison for $145m Ponzi Scheme
- Fox Lake Man Gets 4.5 Years for Ponzi Scheme
- Fugitive Couple Arrested for Ponzi Scheme
- Futures Broker, Currency Dealer Sued for Facilitating Cook Ponzi Scheme
- Glen Galemmo and Galemmo Investment Group – Yet Another Ohio-Based Ponzi Scheme?
- Hedge Fund Ponzi Scheme Leads to More Than $15 Million in Losses
- Idaho Ponzi Scheme Shows Dark Side of Man Who Preyed on Family and Church Members
- Illinois Man Sentenced to More Than 5 Years in Prison for $9 Million Dollar Ponzi Scheme
- Investigating Claims Against TD Ameritrade, Aequitas Management
- Investment Fraud Where You Least Expect It
- Investment Scam Could Be New Hampshire’s Biggest Ponzi Scheme
- Investment Scams In 2020 You Could Be Targeted By
- Is WW Capital III Investment Fund in Cleveland a Ponzi Scheme? I Hope I Am Wrong
- Jason “Bo” Beckman Sentenced for $195m Minnesota Ponzi Scam
- John Bullar to Pay $6.2 Million in Restitution for Ponzi Scheme
- John Steven Blount Pleads Guilty for Role in $5.8m Ponzi Scheme
- Justice Department Focuses on Investment Scam Victims in New Summits
- Kansas Lawyer Convicted for Texas Investment Fraud
- KGTA Ponzi Schemers Sentenced for Defrauding Investors $17 Million
- La County CEO Syed Quisar Madad Arrested for Day Trading Investment Scheme
- Life’s Good Inc. Owner Accused of Ponzi Scheme
- Man Admits Guilt in Ponzi Scheme Worth $100 Million
- Man Indicted in Pennsylvania Ponzi Scheme Fails to Mention Previous Convictions
- Man Pleads Guilty in Annuities Ponzi Scheme
- Man Pleads Guilty in Iraq Rebuilding Ponzi Scheme
- Man Sentenced for Arizona Investment Fraud; Accused of California Ponzi Scheme
- Marcello Trebitsch Pleads Guilty to Defrauding Investors Out of Nearly $6m
- Meyer Wilson Investigates Investment Adviser John Woods for “Horizon Private Equity” Ponzi Scheme
- Meyer Wilson Law Firm Contacted by Victims of Alleged Ponzi Scheme Run by Former Pennsylvania Stockbroker Patricia S. Miller
- Meyer Wilson Representing Investor Victims in Madison Timber Ponzi Scheme
- Meyer Wilson Teams Up With Pittsburgh Law Firm of Rosen Louik & Perry, P.C. To Represent Victims of the Alleged Ponzi Scheme Involving Broker Patricia Miller
- Michael Anthony Jenkins and Harbor Light Asset Management Face Charges for Solicitation Fraud, Misappropriation and Embezzlement in Ponzi Scheme
- Michigan Ponzi Schemer Dante Demiro Receives 10 Year Sentence for Investment Fraud
- Montana Man Pleads Guilty to Multi-State Gold and Platinum Investment Scheme
- More Charged in Twin Cities $194 Million Ponzi Scheme
- More Investment Victims Identified in David Salinas Ponzi Scam
- Nevin Shapiro and Capitol Investments USA, Inc. – Alleged Ponzi Scheme
- New Details Emerge in Dayton, Ohio Ponzi Scheme Case
- New Ponzi Schemes Uncovered Weekly
- News: FSC Securities Corp. To Pay $1.28m Arbitration Award in the Case of Aubrey Lee Price
- News: Ponzi Scheme Scammers Penalized for Additional $76 Million
- Northern Colorado Ponzi Scheme Involves $3.5 Million
- Ohio Men Indicted for Allegedly Defrauding Investors Out of $17 Million
- Ohio Men Plead Guilty in $17 Million Ponzi Scheme
- Ohio Ponzi-Schemer Glen Galemmo Says ‘Fear of Failure’ Led Him to Steal From His Investors
- Operation Broken Trust Leads to 52-Month Sentence for Michigan Woman in One Million Dollar Ponzi Scheme Case
- Operators of Michael Franks LLC Charged With Running $16 Million Ponzi Scheme
- Own Promotional Materials Used Against Trevor Cook Ponzi Scheme Defendants in Court
- Peregrine Financial Schemer Russell Wasendorf Accused of Copycat Fraud
- Ponzi Scheme Clawback Actions – Forcing Victims to Right Other People’s Wrongs
- Ponzi Scheme Sends Daniel Cohen to Prison
- Ponzi Scheme Suspected in West Virginia
- Ponzi Scheme Targeting Spanish, Portuguese Speakers Stopped by SEC
- Ponzi Schemer Arthur Nadel to Be Profiled Tonight on CNBC’s “American Greed”
- Ponzi Schemes Continue to Destroy the Financial Lives of Americans Every Day
- Portland Hedge Fund Manager Yusaf Jawed Guilty in Ponzi Scam
- Proposed Law Could Mean Greater Recovery for Ponzi Scheme Victims
- Roseville Man Pleads Guilty to Ponzi Scheme
- San Luis Obispo Man Pleads “No Contest” in $2 Million Investment Scam
- Santa Ana Man Faces Prison Following Ponzi Scheme
- SEC Accuses Atlanta Marketing Company Zhunrize and CEO Jeff Pan of Running a $100m Pyramid Scheme
- SEC Charges AIC and President/CEO Skaltsounis With Multi-million Dollar Offering Fraud and Ponzi-scheme
- SEC Charges Ohio-Based Ira Provider in Connection With Ponzi Scheme
- SEC Files Ohio Lawsuit Naming Former Brokers of World Group Securities
- SEC Files Pyramid Scheme Charges Against Internet Marketing Company Eadgear Inc.
- Securities Fraud Leads to Guilty Plea From Former Pastor
- Senior Investors Often Targets of Ponzi Schemes, Affinity Fraud
- Senior VP of Capital Financial Planning Charged in $1m Ponzi Scheme
- South Carolina Pastor Accused of Multimillion-dollar Ponzi Scheme
- Stark County Financial Advisor Convicted on 53 Felony Counts for Operating $1.7m Ponzi Scheme
- TD Bank Purportedly Utilized in Rothstein Ponzi Scheme
- Texas Man Charged in Ponzi Scheme by the SEC
- The Aftermath of a Ponzi Scheme Collapse: Liability of Brokerage Firms
- The CFTC Accuses South Carolina Pastor of Running Ponzi Scheme
- Tucson Resident Charged With Ponzi Scheme, Fraud Allegations
- Unregistered Broker Fraud May Be on the Rise, Reports USA Today
- Update: Ohio Law Firm of Meyer Wilson Hired by Former Clients of Ohio Stockbroker Christopher Todd Wendel
- Utah Businessman Sentenced in $180 Million Ponzi Scheme: State’s Largest Financial Fraud Case Ever
- Wealth Advisor Garfield Taylor Indicted for $25 Million Ponzi Scam
- What Happened To WeedGenics? | Ponzi Schemes Explained
- What Is a Ponzi Scheme?
- Wife Is Liable to Victims After Ponzi-Schemer Husband Commits Suicide
- Wisconsin Prison Buddies Who Orchestrated $7m Ponzi Scheme Head Back to Slammer
Category: REITs
- Berthel Fisher Hit With FINRA Penalty Over ETF Supervision Lapses
- Did Irvine-based Financial Advisor Howard Hsieh, Of Cetera Investment Services, Invest Your Money In Risky Non-traded Real Estate Securities?
- Did Ivan Cen Sell You Risky, Non-Traded Real Estate Securities?
- Did Michael Chandler of Infinex Investments Inc. Sell You Non-Traded REITs?
- Did You Lose Money in an Account Managed by Andrew Marschall?
- Did You Lose Money in an Account Managed by Former Cetera Investment Advisers Broker Hui Zhang?
- Did You Lose Money With Former Voya Financial Broker William Johnson?
- Did You Suffer Investment Losses While Working With Arkadios Capital Broker Kevin Rainwater?
- Did Your Investment Adviser From W.A. Smith Financial Group Sell You Risky, Non-Traded Real Estate Securities?
- Have You Suffered Losses in Hospitality Investors Trust REIT?
- Investment Scams In 2020 You Could Be Targeted By
- Lodging Fund REIT III: Navigating Non-Traded REITs in 2024
- LPL Financial Agrees to $750,000 Settlement in Nontraded REIT Case
- LPL Fined Again over Sales of Alternative Investments
- Meyer Wilson Representing Investors in Claims Involving Improper Reit Sales and Other Unsuitable Investments Sold by Cetera Advisors
- Ohio Realtor Brenda Ashcraft Pleads Guilty to Defrauding Investors Out of $15 Million
- SILA Realty Trust: Unraveling Investment Risks and NAV Challenges
- Silver Star REIT Losses: Navigating Investor Recovery Options
- Were You Sold Non-Traded REITs by Former Cetera Broker Darryl Ferguson?
Category: RMBS
Category: SEC News
- $5 Million Ponzi Scheme Defrauds Investors
- 1st Global Capital and 1st West Capital File for Bankruptcy Amid SEC Fraud Investigation
- Affiliates of AIG Charged by SEC
- Andrew Caspersen Pleads Guilty to Defrauding Investors
- Brokerage Firms Will Have to Conduct Thorough Background Checks on New Hires
- Brothers Charged by SEC in Ponzi Scheme Allegations
- Committee for the Fiduciary Standard Pushes for Financial Advisers to Sign Fiduciary Oath
- Defrauding Investors by Inflating Fund Performance
- Did You Overpay for Mortgage Bonds?
- Dually Registered Investment Advisors Pose New Risk
- Eight People Sentenced to Prison and Ordered to Pay Nearly $130 Million in Restitution
- Fiduciary Duty: Safeguarding Your Financial Interests in 2025
- Financial Fraud on the Rise, Says SEC
- FINRA Broker-Compensation Rule Approved by SEC
- Former Broker Malcolm Segal Sentenced to 10 and a Half Years
- Former GL Capital Partners CEO Daniel Thibeault Pleads Guilty to Fraud
- Former Head of Coastal Investment Advisors Michael Donnelly Sentenced to Prison
- Former Ohio Stockbroker Thomas E. Brenner, Jr., Accused of Participating in Nationwide Ponzi Scheme
- GBP Capital And Its Owners Facing An Onslaught Of Securities Fraud Charges From Regulators
- Geneos, Securities America, and PNC Settle with SEC, Will Pay Clients More than $12 Million
- Gregory Lunar Merrick Submits Offer of Settlement
- Hedge Fund Manager Reimbursing Investors $2.877 Million
- How to Identify and Protect Yourself From Excessive Trading
- Investigating Claims Against TD Ameritrade, Aequitas Management
- Investment Group & Executives in Oregon Charged by SEC
- Investor Alert: Be Aware of Government Impersonators
- Is Your Advisor Skimming Funds from Your Investment Accounts?
- Is Your Broker on the Sec Naughty List?
- Jerry Cicolani and Kelly Hood Submit Offer of Settlement of SEC Charges
- Major Blow to Transparency Efforts of SEC Oversight of FINRA Arbitration
- Martin Shkreli Charged With Fraud
- Merrill Lynch to Pay $415 Million to Settle Charges of Misusing Customer Funds
- Merrill Lynch, Pierce, Fenner & Smith Inc. Fined $42 Million for Misleading Customers
- Merrill Lynch, Pierce, Fenner & Smith Inc. To Pay $15.7 Million in Penalties and to Clients
- New FINRA Regulation Seeks to Increase Investor Protection, Cut Through Broker Excuses
- New FINRA Rule 2165 Requires Reporting of Suspected Exploitation
- New Rule: The SEC Permits Summary Prospectuses For The Sales Of Variable Annuities
- New SEC Rule Requires Brokers To Stop Calling Themselves “Advisors”
- News: Former Merrill Lynch and Smith Barney Investor Given Extra Jail Time
- News: Guggenheim Partners Investment Management Agrees to Pay Fine for Violation of Disclosure to Clients
- News: Investors Warned of Pyramid Schemes Disguised as Multi-Level Marketing Programs
- News: ITG Charged With Working a Secret Trading Desk and Exploiting Subscriber Information
- News: SEC Looks to Stop Scheming Trio Accused of Investment Fraud
- News: The Blackstone Group Advisers Agree to Settle Charges for Failing to Disclose Necessary Information
- News: The SEC Alleges Edward Jones Overcharged Customers on Municipal Bonds
- News: UBS Agrees to Pay $19.5 Million to Settle SEC Charges
- News: UBS Puerto Rico Agrees to Settle Supervisory Failure Case With the SEC
- Pittsburgh Financial Adviser Accused of Defrauding Pro Athletes
- Rhode Island Quasi-Public Agency and Wells Fargo Charged With Fraud by SEC
- SEC Accuses Atlanta Marketing Company Zhunrize and CEO Jeff Pan of Running a $100m Pyramid Scheme
- SEC Adopts New Disclosure and Review Requirements for Asset-Backed Securities
- SEC and FINRA Fine Merrill Lynch
- SEC Brings Charges for a Pump-and-Dump Scheme Involving Jammin’ Java
- SEC Charges Citigroup and Morgan Stanley Nearly $6 Million for Misleading Investors
- SEC Charges Securities Professional With Defrauding Investors
- SEC Charges Transamerica Entities $97 Million over Faulty Investment Models
- SEC Claim: Navistar International & Former CEO Misled Investors
- SEC Files Pyramid Scheme Charges Against Internet Marketing Company Eadgear Inc.
- SEC Investor Alert: the Risks of Investing in Marijuana-related Companies
- SEC Issues Investor Alert on Affinity Fraud
- SEC Issues Order Against Former Gl Capital Partners CEO Daniel Thibeault
- SEC Issues Warning About Cryptocurrencies, IRA Fraud
- SEC Issues Warning over Paid-to-Click Scams
- SEC Order Issued Against Former Broker Patricia Miller
- SEC Oversight Questioned as SEC Reviews FINRA
- SEC Proposes Enhanced Disclosures to Protect Investors in Asset-Backed Securities
- SEC Proposes Investor Protection Measures for Municipal Securities Markets
- SEC Proposes Rule to Ban Felons and “Bad Actors” From Private Placement Offerings
- SEC Recommends “Universal Fiduciary Duty”
- SEC Sanctions Registered Investment Advisers for Excessive Mutual Fund Fees and Failure to Disclose Receipt of 12b-1 Fees
- SEC Says 12(b)-1 Fees Not Forgotten as Revision Gets Pushed Back Once Again
- SEC Says: More Money Needed to Fight Investment Fraud
- SEC Shuts down Reported ICO Scam
- SEC Votes to Adopt New Whistle-Blower Program
- SEC Warns Broker Dealers About Due Diligence
- SEC Warns Investors of Scammers Impersonating Government Officials
- SEC Warns Investors of Social Media Schemes Such as Twitter, Facebook, & Linkedin
- SEC’s Best Interest Standard Causing Confusion Over Undefined Rules, Vague Language
- Sixth Circuit Court of Appeals Upholds $120 Million Judgment Against Oil Fraudster for Selling Unregistered Securities in the Form of Promissory Notes
- State Street Bank and Trust Company Pays $12 Million to Settle Charges
- Study Reveals 90 Percent of Expungements Are Granted in Stockbroker Arbitration Cases
- Texas Man Charged in Ponzi Scheme by the SEC
- The Debate Continues Over Whether Life Settlements Are Really Securities
- The SEC Cracks Down on Penny-Stock Fraud
- The SEC Indicts Former Nomura Traders With Fraud, Meyer Wilson Investigating
- The SEC Just Released an Investor Bulletin Explaining the FINRA Arbitration Processes Involved in a Dispute With Your Stockbroker
- UBS Charged With Supervisory Failures by the SEC
- Virtus Investment Advisers Accused of Advertising False Performance Claims
- Wells Fargo Slapped with $3M Fine for Trading Misconduct
- Whistleblower Receives Over $5 Million in SEC Award
Category: Securities Arbitration
- Arizona Brokers, Jeffrey Stebbins and Corbin Jones, Charged With Investment Fraud
- Broker James Edward Lyons Accused of Unauthorized Trading
- Claude Darrell Mcdougal Gets 6+ Years for Securities Fraud
- David P. Meyer Shares Insight On Proposed Bill To Ban Mandatory Arbitration Agreements Between Investors And Advisors
- Did You Overpay for Mortgage Bonds?
- Does Securities Arbitration Have A Statute Of Limitations?
- Energy Investors Continue to Lose Money in 2017; Investors May Be Able to Recover Their Losses in FINRA Arbitration
- FINRA Arbitration Claims for Stockbroker Negligence: How to Win
- FINRA Awards Investors $1.6 Million in Claim Related to DBSI-packaged TICs
- FINRA Awards Investors $54 Million in Citigroup MAT/ASTA Case
- FINRA Issues Warning over Non-Lawyer Arbitration Representatives
- Former Broker Donald A. DeVito II Accused of Churning and Unauthorized Trading
- J.P. Morgan Securities Ordered to Pay $485,000 to Clients
- Major Blow to Transparency Efforts of SEC Oversight of FINRA Arbitration
- Morgan Keegan Ordered to Pay Punitive Damages in Madoff Feeder Fund Case
- New List of Top Investor Threats Released
- Study Reveals 90 Percent of Expungements Are Granted in Stockbroker Arbitration Cases
- The Gap in Regulatory Coverage for Registered Investment Advisors
- There’s Never a “Free Lunch”
- What Your Broker Should Be Doing to Prevent Overconcentration
- Wife Is Liable to Victims After Ponzi-Schemer Husband Commits Suicide
Category: Securities Fraud
- “Bad Boy of Wall Street” Accused of $140 Million Investment Fraud
- $5 Million Ponzi Scheme Defrauds Investors
- 15 People, 19 Entities Charged in Microcap Stock Schemes
- 1st Global Capital and 1st West Capital File for Bankruptcy Amid SEC Fraud Investigation
- 25-year-old Donald French Jr. Faces Charges for Florida Ponzi Scheme
- A Dozen Firms Fined $14.4 Million After Failing to Protect Records From Alteration
- Abraham Heimann Accused of Investment Unsuitability Among Other Types of Misconduct
- Actions You Can Take to Avoid Securities Fraud and Ponzi Schemes
- Alaska Woman Pleads Guilty to Securities Fraud Charges
- Allegations of Fraud, Money Laundering Lands Former Ameriprise Advisor Li Lin Hsu Behind Bars
- Alleged $52.5 Mil Ponzi Scheme Leads to Charges for Webster Groves Man
- Alleged Securities Fraud May Have Led to Bankruptcy and Investor Loss
- Alonza Barnett Jr. Barred by Finra After Client Claims Breach of Fiduciary Duty
- Anthony Vincent Ferrone Banned From Securities Industry Due to Unsuitable Unit Investment Trusts
- Are the Sales of Private Placements an Indication of Brokers Gone Bad?
- Are You Wrapped Up in an Unsuitable Wrap-fee Program?
- Arizona Brokers, Jeffrey Stebbins and Corbin Jones, Charged With Investment Fraud
- Armitage Sentenced to Prison in Alleged Bay Area Ponzi Scheme
- As I Predicted Last Year, Oscar Villarreal’s WW Capital Partners Fund Appears to Be a Ponzi Scheme
- ATM Investment Scam Gets North Carolina Man 8 Years
- Avoiding Ponzi Schemes: California Investment Fraud Lawyer Reports
- Avoiding Scams During the Holidays: Part One of a Six-Part Meyer Wilson Blog Series
- Avoiding Securities Fraud: The Importance of Reviewing Your Statements
- Avoiding Securities Fraud: What a CRD Number Tells You
- Barclays Capital Inc. Fined $1.3 Million for Extensive Violations and Failures
- Barred Broker Jason Figueroa Has Been Accused of Fraud, Unsuitable Investments and Negligence
- Bay Area Lawsuit Filed in Alleged GLR Growth Fund Ponzi Scheme
- BestVest Investments, Ltd. Fined Over Sale of Non-Traditional ETFs
- Borrowing Money From Clients Gets Former Wells Fargo Broker Shane Springman Discharged
- Boston Broker Cornelius Peterson Fired for Allegations of Misappropriating Client Assets
- Branchburg Woman’s Alleged Investment Scam Bilks 50 Out of $7 Million
- Broker Brian Royster Terminated for Allegedly Borrowing Money From Clients
- Broker Bruce Barber Terminated from Firm for Selling Unapproved Private Securities
- Broker Daniel Doogs Suspended by FINRA, Terminated by Employer
- Broker Daniel Peltier Pays Fine for Market Manipulation of Over-the-Counter Stock
- Broker Jeffrey T. Kluge Under Investigation for Unauthorized Trading
- Broker Jeffrey Wilson Under Investigation for Excessive Trading, Unsuitable Recommendations
- Broker Joel Kassewitz Has Been Accused of Providing Unsuitable Investment Advice
- Broker John Carolyn Has Been Accused of Overconcentration in Energy Securities
- Broker John Crook Hit With Complaints of Excessive Trading, Unsuitability, Others
- Broker Kee Chan Settles Mortgage-Backed Securities Fraud Allegations With SEC
- California Man Pleads Guilty in Alleged T-Bill Trading Ponzi Scheme
- California Man Steals $300,000 From Bay Area Investors
- Cetera Advisor Broker Jaret Mutter Is in the Spotlight for Allegations of Unsuitable Investments
- Cetera Broker-Dealers Agree to $3.3 Million Settlement for Overcharging Clients
- Chad D. Hornday Accused of Selling Away, Barred by FINRA
- Charles Eizelman Sentenced in Wayne County Court for Ponzi Scheme
- Chicago Broker Bhenoy Dembla Barred by FINRA Over Falsifying Mutual Fund Sales Orders
- Christopher Sinkula of Janney Montgomery Accused by Customer of Making Unsuitable Investments
- Clayton Man Suspected in $35 Million Ponzi Scheme
- Cleveland’S John Phillip Correnti Barred from Securities Industry by FINRA
- Common “Red-flag” Sales Pitches
- Congress Votes in the Middle of the Night to Give Big Banks Immunity from Lawsuits
- Cory R. Brunell Investigated for Claims of Unsuitable Recommendations
- Danny Scott Hood Barred for Variable Annuity Scam
- Darren McGovern Resigns Following Client Impersonation Allegations | What To Do Next
- David Krumrey Terminated from Oppenheimer for Rule Violations
- David Meyer Discusses Phil Mickelson Insider Trading Investigation on WTVN Radio
- Dean P. Gross, of Bridon Entertainment, Sentenced for Ponzi Scheme
- Detroit Money Manager Bluestein Barred From Securities Industry
- Did Ameriprise Fail to Safeguard Your Money?
- Did Former Investors Capital Corp. Financial Advisor Donnie Ingram Make Unsuitable Investment Recommendations for You?
- Did You Lose Money in an Account Managed by Former Cetera Investment Advisers Broker Hui Zhang?
- Did You Lose Money in Energy Investments Recommended by Former Stifel, Nicolaus & Company Financial Advisor Andrew Elsoffer?
- Did You Lose Money Investing with Former NYLIFE Securities Broker Michael Norman?
- Did You Lose Money Investing with Peter Butler?
- Did You Lose Money on Short Sales With Cantor Fitzgerald?
- Did You Overpay for Mortgage Bonds?
- Did Your Broker Engage in Unsuitable Options Trading on Your Behalf?
- Dodging FINRA Investigation Gets Former Broker James Knee Barred
- Don’t Fall Prey to Digital “Pump and Dump” Scams
- Don’t Forget About Your Brokerage Account Statement
- Duration – How Interest Rate Hikes Can Affect Your Bond Portfolio
- Eight People Sentenced to Prison and Ordered to Pay Nearly $130 Million in Restitution
- Elderly and Church Members Among Victims of Alleged Ponzi Scheme
- Elderly Investors: Do You Know Where Your Money Is Going?
- Failure to Disclose Commissions Earned: Company Allegedly Fraudulent
- Failure to Supervise Can Result in Broker-dealer Liability in “Selling Away” Cases
- FBI Publishes Warning about Binary Options Fraud
- Fifth Third Securities Sanctioned by FINRA for Failures Relating to Variable Annuity Exchanges
- Financial Advisor David Miller Has Multiple Investment Fraud Claims Filed Against Him
- Financial Advisor Peter Holler Terminated and Suspended for Selling Clients Woodbridge Ponzi Scheme
- Financial Fraud Is on the Rise According to Officials, Scamming Billions of Dollars From Investors
- FINRA Bars Former Raymond James Broker Taek Chong After Complaints of Overpayment of Commissions
- Finra Bars Former U.S. Bancorp Broker John Wade for Converting Client Funds
- FINRA Bars Former UBS Broker John Maccoll for Evading Investigation Over Alleged Multi-million Dollar Fraud Scheme
- FINRA Bars Louisiana Advisor Kristian Gaudet Over Alleged Misuse of Client Funds, Failure to Testify
- FINRA Changes Could Make It Harder for Brokers to Hide the past
- FINRA Focuses on Unsupervised Brokers Selling Fraudulent Securities
- FINRA Has Barred Former Morgan Stanley Broker Darrell Rideaux After Allegations of Selling Away
- FINRA Proposing a Wider Net to Capture Churning Brokers
- FINRA Pushes along Proposals to Crack down on Unpaid Arbitration Awards and High-Risk Brokers
- First Financial Equity Corporation Broker Jeffrey Sigman Fired Amidst Regulatory Investigation
- Folsom Man Sentenced for Alleged Ponzi Scheme
- Former Attorney Received the Longest Sentence Ever for Insider Trading
- Former Berthel Fisher & Company Broker Mason Gann Suspended by FINRA
- Former Broker Bryan Wayne Anderson in Prison, Barred by SEC
- Former Broker Gerald Cocuzzo Pleads Guilty to Securities Fraud
- Former Broker Scott Newsholme Sued by SEC for Stealing More than $1 Million from Clients
- Former Cambridge Broker Ralph Savoie Criminal Charged for Defrauding Investors in Ponzi Scheme
- Former Cleveland Broker James Unger Charged with Embezzlement
- Former Edward Jones Broker Fired and Expelled from Industry over Allegations He Misused Elderly Client’s Funds
- Former Florida Broker Alex Herrera Barred by FINRA Over Allegations of Client Theft
- Former Florida Broker Lisa Lowi Barred for Unsuitable Recommendations
- Former HD Vest Broker Donna Barnard Facing Multiple Complaints for Selling Customers Woodbridge Ponzi Scheme
- Former HD Vest Broker Jerry Raines Investigated for Allegations Involving Woodbridge Mortgage Investment Fund
- Former LPL Financial Broker Melvin Case Charged with Exploitation of the Elderly
- Former LPL Financial Broker Sanders Spangler Pulls a No-Show in Regulatory Investigation, Gets Barred by FINRA
- Former LPL Financial Broker Sonya Camarco Sued by SEC for Allegations of Client Theft
- Former Lpl Financial Broker Suhail Khan Barred by FINRA
- Former Merrill Lynch Broker Christopher Hibbard Barred for Dodging Regulatory Investigation – Faces Multiple Allegations of Client Theft
- Former Merrill Lynch Broker Ethan De Naray Fired Amidst Allegations of Unauthorized Trading
- Former Merrill Lynch Broker Faces Multiple Pending Disputes Alleging Unauthorized Trading
- Former Merrill Lynch Broker Frank Zito Discharged Over Allegations of Selling Away
- Former Michigan Broker Ernest Romer Sued by SEC Over Multi-million Dollar Securities Fraud
- Former Mississippi Investment Advisor Anthony Welch Charged With Securities Fraud by SEC
- Former Morgan Stanley Broker Charles Dixon Barred by Regulators Over Failure to Comply with Investigation
- Former Morgan Stanley Broker Kevin Woolf Barred for Noncompliance with FINRA Investigation
- Former Morgan Stanley Broker Michael Ralby Barred for Declining to Comply With Regulatory Investigation
- Former Morgan Stanley Broker Peter Doyle Barred by FINRA
- Former Morgan Stanley Broker Randall Hayes Under Investigation for Allegedly Selling Inverse and Leveraged ETFs
- Former Morgan Stanley Broker Stewart Malloy the Subject of Regulatory Action and Customer Complaints
- Former NBA Trainer Stephen Gordon Gets 50 Months for Fraud
- Former Northwestern Mutual Investment Services Broker Donnell Noah Bowen Barred After Failing to Cooperate With an Investigation
- Former Ohio Broker John Schmidt Charged by the SEC With Defrauding Seniors
- Former Ohio Financial Advisor Mark Speakman Sentenced for Defrauding Clients More than $1.1 Million
- Former Oppenheimer & Company Broker David Krumrey Was Suspended by FINRA for Failing to Produce Information
- Former Oppenheimer Broker Leslie Flaum Faces Allegations of Failing to Supervise the Sale of Investments to Customers
- Former PFS Investments Broker Daniel Winger Consents to Findings of Client Theft
- Former Philidelphia Eagles Linebacker to Pay the Price after Ripping off Investors in $10 Million Fraud Scheme
- Former RBC Broker Patrick Hudson Suspended for Broker Misconduct
- Former Royal Alliance Broker Gary Basralian Admits to Stealing Millions From Clients
- Former Royal Alliance Broker Gary Basralian Arrested for Allegedly Stealing More Than $2 Million From Clients
- Former Securities America Broker Michael D Jackson Suspended and Fined by Regulators for Violation of Several Securities Regulations Target Publish Date
- Former Signator Investors, Inc. Broker Joseph Pratte Permanently Barred From Securities Industry by Regulators
- Former Southern California Broker William M. Heiden Faces Claims Over Unauthorized Trades for Elderly Clients
- Former Stifel Nicolaus Broker of Boardman, Ohio Stephen Hurtuk Faces Allegations of Selling Speculative, Unsuitable Investments
- Former Stifel, Nicolaus & Company Broker Mitchell Yanow Barred for Stealing Customer Funds
- Former Stock Broker Jerry Lou Guttman Barred for Selling Unapproved Securities to His Customers
- Former Stockcross Broker Herbert Voss Barred for Not Cooperating With Regulatory Investigation
- Former UBS Broker Lorenzo Esteva Barred during Investigation of Unauthorized Trading
- Former UT Player Russell Erxleben Indicted for $2 Million Ponzi Scheme
- Former Voya Broker Martin Stancik Hit with Mail Fraud Allegations
- Former Wells Fargo Broker Jeffrey Palish Accused of Stealing Elderly Client’s Funds
- Former Wells Fargo Broker John Schmidt Accused of Misappropriation, Theft of Client Funds
- Former Wells Fargo Broker Ramon Herrera Under Regulatory Suspension for Misconduct
- Former Wells Fargo Financial Advisor Timothy J. Scherwa Accused of Misconduct
- Framingham Man Pleads Guilty in Multi-million Ponzi Scheme
- Fugitive in California Investment Scam Sentenced After Guilty Plea
- Geneos, Securities America, and PNC Settle with SEC, Will Pay Clients More than $12 Million
- George Thoreson Barred by SEC Following Pump and Dump Scheme Allegations
- Guitars Going to Auction for Dallas Ponzi Scheme Victims in Rand Case
- Hedge Fund Ponzi Scheme Leads to More Than $15 Million in Losses
- Hilliard Lyons Broker Christopher Bennett Ordered to Pay $445,000 in Damages to Customer in FINRA Arbitration
- How Does FINRA Define High-risk Brokers?
- How to Identify and Protect Yourself From Excessive Trading
- How to Recover Losses in FIP
- Illinois Investment Adviser Stephen C. Carver Faces Customer and Regulatory Complaints
- Indiana Man Sentenced for Investment Fraud, Securities Fraud
- Indiana Man Sentenced for Taking Part in Jasen Snelling Ponzi Scheme
- Individuals May Qualify for Significant Monetary Awards Under the SEC’s Whistleblower Program
- Investment Complaints Against Dexter Thomas: Investors Seeking Over $9.3 Million in Damages
- Investment Scams In 2020 You Could Be Targeted By
- Investor Education: Investment Fraud Victim Recovery Checklist
- Investors at Risk: Government Shutdown, SEC Closure Opens Door to Fraud
- Investors Lose Millions in Scheme by Former UBS Broker
- Investors Should Be Leary of Forex Trading Promoters
- Is WW Capital III Investment Fund in Cleveland a Ponzi Scheme? I Hope I Am Wrong
- Is Your Advisor Skimming Funds from Your Investment Accounts?
- Is Your Broker Lining His Pockets with Your Retirement Money?
- Is Your Broker on the Sec Naughty List?
- Is Your Brokerage Firm Protecting Your Hard-earned Money?
- J.P. Morgan Securities, LLC Fined $1.25 Million Over Failure to Appropriately Screen or Fingerprint Employees
- James Liebes: Arizona Dealer Fined $759K for Fake Stock Scam
- Jeffrey Wayne Davidson Sanctioned by FINRA in 2024
- JJB Hilliard, WL Lyons Broker Michael Barnett Facing Allegations of Investment Misconduct
- Joanne Schneider Withdraws Plea on Ohio Securities Fraud Charges
- John Fagan Barred by FINRA: What’s Coming Next
- John Holtsinger of Ottumwa, Iowa Pleads Guilty to Million Dollar Ponzi Style Scam
- Jonmark Richardson Faces Rising Investor Complaints in 2024
- Joseph Sterling of Geneos Wealth Management the Subject of Customer Complaints for Making Unsuitable Recommendations
- Kim Dee Isaacson Permanently Barred by FINRA
- Larry Charles Wolfe Under Investigation for Broker Misconduct
- Larry S. Werbel Barred by SEC Over Adviser, Securities Fraud
- LPL Fined Again over Sales of Alternative Investments
- Man Allegedly Violates Probation With Attempted Securities Fraud
- Man in Alleged NC Securities Fraud Caught Holding Estate Sales After Asset Freeze
- Massachusetts Charges GPB Capital Holdings With Securities Fraud
- Massachusetts Securities Division Files Complaint Against LPL Financial and Its Broker Roger S. Zullo
- Men Charged With Securities Fraud in Stock Loan Fraud Scheme Based in California Georgia Florida
- Merrill Lynch Broker James Lowther Accused of Unauthorized Trading
- Merrill Lynch Fined $7 Million by FINRA
- Merrill Lynch, Pierce, Fenner & Smith Inc. Fined $42 Million for Misleading Customers
- Merrill Lynch, Pierce, Fenner & Smith Inc. To Pay $15.7 Million in Penalties and to Clients
- Meyer Wilson Attorney Courtney Werning Helps Couple Recover $100k in Losses
- Meyer Wilson Investigates Accusations Involving Broker Marc W. Evans
- Meyer Wilson Investigates Allegations Against the LJM Preservation and Growth Fund
- Meyer Wilson Investigates Broker Thomas Riquier for Allegations of Defrauding Investors
- Meyer Wilson Investigates Claims of Broker Misconduct against Samuel Rankin
- Meyer Wilson Investigates Former Morgan Stanley Broker David Olson Regarding Allegations of Engaging in Undisclosed Outside Business Activities
- Meyer Wilson Investigates Former Morgan Stanley Broker Thomas Meier
- Meyer Wilson Investigates Former Morgan Stanley Broker Timothy Gibbons for Allegations of Unsuitable Recommendations to Elderly Clients
- Meyer Wilson Investigates Former Nylife Securities Llc Broker Alan New for Selling Clients Woodbridge Mortgage Investment Fund
- Meyer Wilson Investigates Unsuitable Investments Claims against Broker Kevin C. Butler
- Meyer Wilson Investigates Wunderlich Securities, Inc. Financial Advisor Jack Mcbride for Alleged Unauthorized and Unsuitable Transactions
- Meyer Wilson Investigating Annuity Fraud Claims Against Broker Roger S. Zullo
- Meyer Wilson Investigating Broker Gregg D. Templeton over Allegations of Misrepresentation and Omissions
- Meyer Wilson Investigating Claims Against Broker Andrew Scheirer
- Meyer Wilson Investigating Claims Against Broker Christopher Bond
- Meyer Wilson Investigating Claims Against Broker Erryn Barkett
- Meyer Wilson Investigating Claims Against Broker Gerald Ohalloran
- Meyer Wilson Investigating Claims Against Broker Howard Brous
- Meyer Wilson Investigating Claims Against Broker Samuel Koltun
- Meyer Wilson Investigating Claims Against Broker Walter Marino
- Meyer Wilson Investigating Claims Against Broker William Harvey
- Meyer Wilson Investigating Claims Against Dean Mustaphalli
- Meyer Wilson Investigating Claims Against Former Broker Barry Connell
- Meyer Wilson Investigating Claims Against Former Broker Gary Saitowitz
- Meyer Wilson Investigating Claims Against Former Broker Jay Gruenebaum
- Meyer Wilson Investigating Claims Against Former Broker Jesse Litvak
- Meyer Wilson Investigating Claims Against Former Broker John Corsi
- Meyer Wilson Investigating Claims against Former Broker Scott Goldman
- Meyer Wilson Investigating Claims Against Former Broker Tye Williams
- Meyer Wilson Investigating Claims Against Oppenheimer Broker Matthew Giannone
- Meyer Wilson Investigating Claims Involving Former Broker Ken Balser
- Meyer Wilson Investigating Former Broker / Advisor Steven Fonda for Unauthorized Trading
- Meyer Wilson Investigating Former Ohio SA Stone Wealth Broker Terminated for Selling Away
- Meyer Wilson Investigating Misrepresentation Claims against Broker Arthur S. Hoffman
- Meyer Wilson Investigating Multiple Stockbroker Fraud Allegations against William Francis Gillis
- Meyer Wilson Investigating Overconcentration Allegations Against Margaret Lech-Loubet
- Meyer Wilson Investigating Potential Investment Loss Claims Involving Alleged Misconduct by Financial Advisor John J. Maloney III
- Meyer Wilson Investigating Potential Investment Misconduct Claims Involving Financial Advisor David Howard Fagenson
- Meyer Wilson Investigating Stockbroker Misconduct Complaints against Broker Hilary Joseph Zimmerman
- Meyer Wilson Is Investigating Aegis Capital Corp. Broker Dominick Diorio Regarding Allegations of Misconduct
- Meyer Wilson Is Investigating Ameriprise Financial Services Broker James Kujawski for Allegations of Misconduct
- Meyer Wilson Is Investigating Broker Scott Palmer Regarding Customer Disputes Alleging Overconcentration
- Meyer Wilson Is Investigating Former Newbridge Securities Corporation Broker Brian Berger for Allegations of Fraud and Other FINRA Rule Violations
- Meyer Wilson Is Representing Investors in Claims Involving Columbus Broker Craig Sutherland
- Meyer Wilson Is Representing Victims Of The Optionsellers.com Catastrophic Loss Event
- Meyer Wilson Law Firm Investigating Alleged Misconduct by Now-Former Merrill Lynch Financial Advisor John M. James
- Meyer Wilson Representing Investors in Annuity Misrepresentation Case
- Meyer Wilson Representing Victims of the Enviro Board Investment Scheme
- Meyer Wilson Securities Attorneys Looking Into Allegations Against Broker Ronald Rothchild
- Meyer Wilson’s Investigation Into Next Financial Group
- Michael P. Spolar Faces Charges of Investment Unsuitability
- Michigan Investment Advisor Loses License; Accused of Investment Scam
- Michigan-Based Broker John Loveland is the Subject of Two Pending Customer Complaints
- More Victims Expected to Come Forward in Case Involving Former Western International Securities Brokers SIAS and Chichester
- Morgan Lewis Arford Facing Allegations of Unsuitable Oil and Gas Investments
- NE Ohio Investment Advisor Accused of $7 Million Ponzi Scheme
- Neal C. Moon Under Investigation for Improper Sales of Private Securities
- New FINRA Rule 2165 Requires Reporting of Suspected Exploitation
- New List of Top Investor Threats Released
- New York Laidlaw & Company Advisor Kevin R. Wilson Facing Investor Complaints Over Substantial Alleged Losses
- News: Former Merrill Lynch and Smith Barney Investor Given Extra Jail Time
- News: ITG Charged With Working a Secret Trading Desk and Exploiting Subscriber Information
- News: The SEC Alleges Edward Jones Overcharged Customers on Municipal Bonds
- News: UBS Puerto Rico Agrees to Settle Supervisory Failure Case With the SEC
- Northern California Real Estate Investment Company Targeted Elderly With Ponzi Style Scheme
- NY Broker Michael Fasciglione Faces FINRA Customer Complaints Over Investor Losses
- Ohio Investment Fraud Law Firm Continues Investigation Into Potential Recovery for Victims of Brenda Ashcraft’s Alleged Investment Fraud
- Ohio Realtor Brenda Ashcraft Pleads Guilty to Defrauding Investors Out of $15 Million
- Ohio Registered Investment Adviser Charged With Federal Securities Fraud
- Oregon Man Blames Gambling Addiction for Ponzi Scheme
- Oregon Man Bradley Holcom Indicted in San Diego for $50m Securities Fraud Scheme
- Pennsylvania Broker Fined $200,000 for Selling Unsuitable Investment
- Pennsylvania Man Arrested for $3 Million Securities Fraud
- Piccoli Ponzi Scheme Victims to Recoup Some Investment Losses
- Ponzi Scheme Allegedly Victimized Over 400 People
- Ponzi Scheme Case Ends in 8-Year Prison Sentence
- Ponzi Scheme Fraudsters Drawn to Virtual Currencies
- Ponzi Schemes Continue to Destroy the Financial Lives of Americans Every Day
- Potential Fraud in ResCap’s Mortgage-Backed Securities
- Prison Time and Restitution Ordered in Elk Grove Village Ponzi Scheme
- Proposed Bill Would Make Sure Defrauded Investors Don’t Get Stiffed
- Proposed Law Could Mean Greater Recovery for Ponzi Scheme Victims
- Protecting Yourself from Fake Check Scams
- Raymond James Broker Thomas Whitmeyer O’Brien Is the Subject of a Customer Complaint
- Red Flags to Look Out for From Your Financial Professional
- Restitution Hearing Scheduled for Alleged Mobile Home Investment Scam
- Restitution to Be Paid in North Carolina Ponzi Scheme
- Rick Konecny Investigated for Unsuitable Investments, Unauthorized Trading & Overconcentration
- Ron Wilson Sentenced in Greenville for Alleged Ponzi Scheme
- San Diego Ponzi Scam Results in 30-Year Prison Sentence
- San Francisco Investment Scam Takes $7 Million from Family, Friends, and Girlfriend
- Scammers Attempting to Fool Brokerages with Fake Email Transfer Requests
- SEC Accuses Thomas E. Andrews of Investor Fraud and Misappropriation of Funds
- SEC Alleges Owner/Manager of BC Capital Group Hid More Than $100m in Investment Losses From Clients
- SEC Charges California and Illinois Based Hedge Fund Managers With Investment Fraud
- SEC Charges Citigroup and Morgan Stanley Nearly $6 Million for Misleading Investors
- SEC Charges Florida-Based Imperiali and Officers With Securities Fraud
- SEC Charges Hedge Fund Manager in Investment Fraud Case
- SEC Charges Transamerica Entities $97 Million over Faulty Investment Models
- SEC Considers Allowing Forced Arbitration to Ban Securities Class Actions
- SEC Issues Investor Alert on Affinity Fraud
- SEC Issues Warning over Paid-to-Click Scams
- SEC Proposes Investor Protection Measures for Municipal Securities Markets
- SEC Warning: Unregulated Cryptocurrency Exchanges Place Investors at Risk
- SEC Warns Investors of Scammers Impersonating Government Officials
- Securities America Broker Hector May Fired Amidst Allegations He Stole From Clients
- Securities And Investment Fraud Statistics [infographic]
- Securities-backed Lines of Credit: Putting Your Financial Future at Risk
- Selling Investors Woodbridge Mortgage Investment Funds Gets Ny Life Securities Broker Joel Flaningan Terminated
- Six Men Indicted in Nevada Over Fraudulent Investments Promoted Through Malom Group
- South Florida Broker-advisor Christopher Hellman Barred by FINRA Over Alleged “Selling Away”
- States Are Stepping Up With Fiduciary Rules of Their Own
- Steven Knuttila Investigated for Unsuitability and Poor Investment Advice
- Steven Luftschein under Investigation for Alleged Unauthorized Trading, Other Stockbroker Misconduct
- Ten-Year Sentence for Man in Sarasota Ponzi Scheme
- Tennessee-Based Broker Thomas Lawrence Faces Pending Stockbroker Misconduct Complaint
- The SEC Indicts Former Nomura Traders With Fraud, Meyer Wilson Investigating
- There Is a 75% Chance One of These Deceptive Practices Is Affecting You
- There’s Never a “Free Lunch”
- Thomas Caniford Pleads Guilty, Sentenced to 12 Years for Hedge Fund Fraud
- Three Florida Men Indicted in $3.7 Billion Ponzi Scheme
- Three Reasons Why a Ponzi Scheme Will Always Collapse
- Three Scams to Keep an Eye Out For
- Tips to Protect Your Elderly Loved Ones from Financial Exploitation
- Tlm Design and Construction Head Pleads Guilty in Florida Ponzi Scheme
- Todd Ryman Accused of Recommending Unsuitable Private Investment Fund
- Two Charged in Stockbroker Fraud Bust
- Two Convicted in Alleged “Wealth Enhancement Club” Scam
- Two Former Brokers Barred for Their Alleged Roles in Pension Fund Scandal, Top Official Navnoor Kang Charged With Fraud
- Two Former Wachovia Employees Charged With Securities Fraud
- Two Fraudsters Caught in Kentucky Oil Scam After Lavish Party Televised
- Two Indicted in Alleged $75 Million Napa Ponzi Scheme
- Two Men Sentenced for Unrelated Ponzi Schemes in Charlotte
- Two More Convicted in Riverside for Stonewood Ponzi Scheme
- Two Sacramento-Area Men Arrested in Separate Ponzi Schemes
- Two Signs of Securities Fraud and Other Investment Fraud Red Flags
- Understanding the Risks of Data Aggregation
- Unsuitable Energy Securities Endorsed by Jeffrey Randolph Wilson
- Update: Ohio Law Firm of Meyer Wilson Hired by Former Clients of Ohio Stockbroker Christopher Todd Wendel
- VALIC Financial Advisors, Inc. Fined $1.75 Million
- Were You Pressured to Invest in Securities You Didn’t Understand?
- What Happens After a Ponzi Scheme?
- What You Need to Know About Customer Advisory Centers
- When Your Advisor Is Too Close for Comfort
- William H. Merriam IV Barred from Securities Industry by FINRA after Broker Forgery Allegations
- Wunderlich Broker Jack Mcbride Under Investigation for Unsuitable ETFs
Category: Stockbroker Arbitration
- Atlanta Man Sentenced in Securities Fraud Case Affecting 200 Investors
- Congress Votes in the Middle of the Night to Give Big Banks Immunity from Lawsuits
- Did You Overpay for Mortgage Bonds?
- Energy Investors Continue to Lose Money in 2017; Investors May Be Able to Recover Their Losses in FINRA Arbitration
- FINRA Issues Warning over Non-Lawyer Arbitration Representatives
- FINRA Pushes along Proposals to Crack down on Unpaid Arbitration Awards and High-Risk Brokers
- How to Get Your Money Back if You Invested With Michael Oppenheim
- Major Blow to Transparency Efforts of SEC Oversight of FINRA Arbitration
- Morgan Stanley Loses Appeal of $3.3 Million Finra Arbitration Award
- Serial Fraudster James Rivera for Green Energy Investment Scam Defrauding Investors
- SIPC Won’t Cover My Losses… Now What?
- The SEC Just Released an Investor Bulletin Explaining the FINRA Arbitration Processes Involved in a Dispute With Your Stockbroker
- Who is a FINRA Arbitrator and What Difference Does the Arbitrator Selection Process Make?
Category: Stockbroker Mediation
Category: Stockbroker Misconduct
- $1.5 Million Arbitration Claim Against Independent Financial Group Broker Lei Shen
- $34mm Complaint against Broker Debbie Biosca
- 5 Most Common Types of Stockbroker Misconduct
- Advisor Adam Kotz Faces $4M Unsuitable Investments Claim
- Allegations Involving Former Broker John C. Hanson Investigated by Meyer Wilson
- Andrew Schell has 20 Disclosures on his BrokerCheck Report
- Are Brokerages and Advisors Doing Enough to Protect Seniors?
- Beware of “Happiness Letters” From Your Brokerage Firm
- Blake Lynch of Cetera Advisor Networks Terminated
- Broker David McMillen of Crown Capital Securities, L.P. Faces Allegations of Misconduct
- Broker Ismail Elmas Pleads Guilty to Wire Fraud
- Broker William Seibert of Raymond James & Associates, Inc. Accused of Unsuitable Investments
- California Man Steals $300,000 From Bay Area Investors
- Can My Broker or Financial Advisor Trade in My Account Without My Permission?
- Clients File Complaints Against Financial Advisor Robert Melberth
- Danny Ray Strain Faces Numerous Misconduct Allegations
- Defrauding Investors by Inflating Fund Performance
- Dharmesh Vora Barred: SEC Imposes $300K Fine for Fiduciary Breach
- Did Indiana-Based Broker Seth Stewart Invest Your Money in Risky Securities?
- Did Your Broker Engage in Unsuitable Options Trading on Your Behalf?
- Exposing Misconduct: FINRA Bars Marion Strickler Adams III
- Fernando Corujo Facing Regulatory Action by FINRA
- Fifth Investor Dispute Lodged Against Brian Court: Now What?
- FINRA Bars Hector Jesus Hernandez In Money Concepts Corp. Investigation
- FINRA Changes Could Make It Harder for Brokers to Hide the past
- FINRA Disciplinary Actions Up in 2010
- FINRA Launches a New Public-Access Disciplinary Actions Database
- FINRA Proposing a Wider Net to Capture Churning Brokers
- Former Advisor Kristi Berge Charged with Theft in $1.6 Million Mess
- Former Ameriprise Broker Ted Cadwallader Accused of Misconduct, Meyer Wilson Investigates
- Former Broker Gerald Cocuzzo Pleads Guilty to Securities Fraud
- Former Huntington Investment Company Broker Eric Coombs Resigns After Internal Review
- Fort Wayne Broker Charged With 7 Counts of Securities Fraud
- Government Research Shows Broker Misconduct Costing Investors Up to $17 Billion a Year
- Gregory Gaston Gibson’s Troubling History
- How Investors Can Protect Themselves From Broker Fraud and Broker Bankruptcy
- How Unit Investment Trusts Affect You
- Investigating Potential Claims Against Jeffrey T. Kennedy of Center Street Securities
- Investors File Claim Against Brokerage Principal for $4.1 Million in Losses
- Is Your Broker Lining His Pockets with Your Retirement Money?
- James Flynn Customers Complain About Real Estate and Annuity Investments
- Jeffrey Higgins: FINRA-Barred Broker Accused of Fund Misappropriation
- John Cangialosi Jr. Barred for Ignoring Investigation Inquiry
- John Fagan Barred by FINRA: What’s Coming Next
- Keith Dagostino: Broker Facing Unsuitable Investment Allegations
- Lilia Nia, Former Broker for Purshe Kaplan Sterling, Hit with $12 Million Complaint
- Looming Losses for GWG L Bondholders: GWG L Bond Updates for Investors
- LPL Financial Fires Broker David Taddeo
- Madison Avenue Securities Advisor Jim Geake the Subject of Multiple Customer Complaints
- Mass. Financial Adviser Pleads Guilty to Stealing $3 Million
- Matthew Wilkes in Investment Disputes Over Premium Financing for Insurance Policies
- Merrill Lynch, Pierce, Fenner & Smith Inc. Fined $42 Million for Misleading Customers
- Merrill Lynch, Pierce, Fenner & Smith Inc. To Pay $15.7 Million in Penalties and to Clients
- Meyer Wilson Attorneys Investigate Allegations Involving Former Stockbroker Derek Weaver
- Meyer Wilson Attorneys Investigate Allegations Involving Greg Campbell
- Meyer Wilson Investigates Cincinnati Broker Matthew Roger Quinn
- Meyer Wilson Investigates Misconduct Allegations of Former LPL Financial Broker Thomas H. Caniford of North Canton, Ohio
- Meyer Wilson Investigating Claims Against Former Broker Mark Speakman
- Meyer Wilson Investigating Claims Against Oppenheimer Broker Matthew Giannone
- Meyer Wilson Investigating Potential Legal Claims Against Worden Capital Management Relating to Excessive and Unsuitable Trading by Stockbroker John Lopinto
- Meyer Wilson Law Firm Investigating Claims Involving Former Stockbroker Barkley J. Lundy, Jr.
- Meyer Wilson Law Firm Investigating Claims Involving Stockbroker Kirsten Flynn Hawkins
- Michael Persinski Embroiled in $56M Investor Claim Case
- Multiple Client Disputes Concerning Broker Michael Rosenmayer
- New List of Top Investor Threats Released
- News: New FINRA-Approved Rules Will Help Protect Seniors From Financial Exploitation
- Oppenheimer & Co. Inc Advisor Matthew Steinberg Facing $2.5M Dispute
- Patrick Roland Hobert: Controversial Stockbroker Faces Investor Claims
- Private Placement Investments in the Hot Seat
- Recent Stock Market Losses May Reveal Unsuitable Investments in Your Portfolio
- Richard McFarland Jr’s Alleged Misconduct Causes Losses
- Robert Steven Meyer Permanently Barred by FINRA
- Samuel Schoner Faces $2.5M Total FINRA Arbitration Claims
- Scott Taubman: Alleged Misconduct and Investor Implications
- SEC Accuses Former Michigan Broker Lewis J. Hunter of Fraud
- SEC Accuses Koch Asset Management and Founder Donald Koch of Investment Fraud
- SEC’s Best Interest Standard Causing Confusion Over Undefined Rules, Vague Language
- Serial Fraudster James Rivera for Green Energy Investment Scam Defrauding Investors
- St. Louis Woman Pleads Guilty to $6 Million Investment Scheme
- Study Reveals 90 Percent of Expungements Are Granted in Stockbroker Arbitration Cases
- Tips to Protect Your Elderly Loved Ones from Financial Exploitation
- Wall Street May Be Chaotic, but That Doesn’t Mean Your Investments Should Be Too
- Warning From Former Broker About Variable Annuities
- Wells Fargo Broker Forrest Wester Barred By FINRA
- Wells Fargo Broker Joe David Gainer, Jr. Barred by FINRA
- Woodstock Financial Advisor Patrick Louise Faces $2M Suit Over Unsuitable Annuities
Category: Stockbroker Misrepresentation
- Did You Overpay for Mortgage Bonds?
- GWG L Bonds: Did you suffer losses after investing with Anthony John Pitta or Another Broker?
- Merrill Lynch, Pierce, Fenner & Smith Inc. Fined $42 Million for Misleading Customers
- Merrill Lynch, Pierce, Fenner & Smith Inc. To Pay $15.7 Million in Penalties and to Clients
- Navigating Losses with Meyer Wilson: The Michael Archimede Case
- Shocking Allegations: Angelo Talebi Faces 41 Customer Complaints
- Wall Street May Be Chaotic, but That Doesn’t Mean Your Investments Should Be Too
Category: Testimonials
Category: Uncategorized
- Advisor Richard Wesselt’s Barred from FINRA for Annuity Sales
- Brian Wurdemann, formerly of RBC Capital Markets Being Investigated
- Broker Jose Candelario Suspended by FINRA For Unsuitable Recommendations of ETFs
- Broker Joseph Natoli the Subject of Regulatory Action
- Broker Ruben Fernandez’s 21 Investor Disputes
- Can My Broker or Financial Advisor Trade in My Account Without My Permission?
- Customer Complaint Over Adviser Larry Waller’s Allocation and Diversification of Assets
- Did Jeffrey Noard Sell You GWG L Bonds?
- Did Rabih M. Msallem Sell You Structured Notes?
- FINRA Issues Sanction To Michael May
- FINRA Sanctions Ronald Whittingham
- Investigating Broker Rogerio Almeida
- Meyer Wilson Investigates Broker Matthew Buchsbaum for Multiple Allegations
- Meyer Wilson Investigates Investment Adviser Jeffrey Lewis Gitterman for Unsuitable Investment Recommendations
- Meyer Wilson Investigating Claims Against Broker James Ciocia After Two Recent Customer Complaints
- Meyer Wilson Principal Courtney Werning to Guest Lecture at University of Miami Law School
- Meyer Wilson Principal Courtney Werning’s Leadership Recognized with Appointment to FINRA’s National Arbitration and Mediation Committee
- Recovering Losses from Broker Roderick Whited’s Alleged Misconduct
- William King Investor Complaints | Recover Losses with Meyer Wilson
Category: Variable Annuity Abuses
- Do You Know When to Change Your Variable Annuity?
- Nationwide to Pay $8 Million Over Variable Annuity Failures
- Troubles of Using IRA Money to Buy Variable Annuities
- VALIC Financial Advisors, Inc. Fined $1.75 Million
- Variable Annuities – Very Expensive Mutual Funds That Are Nearly Impossible to Understand
- Warning From Former Broker About Variable Annuities
Category: Video Updates
- Be Mindful of Investment Seminars as a Retiree
- Brokers’ Fees and How They Affect You
- Can I Still File a Claim After a Set Amount of Time?
- Choosing the Right Investment Advisor
- Do I Need to Have My Paperwork?
- How Unit Investment Trusts Affect You
- The Risks of Investing on Margin
- To Whom Do I Write My Check?
- Troubles of Using IRA Money to Buy Variable Annuities
- Understanding the Difference Between Discretionary & Non-Discretionary Accounts
- What Are Alternative Investments?
Category: Wire Fraud
- Broker Ismail Elmas Pleads Guilty to Wire Fraud
- David Williams Pleads Guilty to $4 Million Real Estate Investment Scam
- Former Edward Jones Advisor Jason W. Cox Accused of Stealing Money From Disabled Woman
- GBP Capital And Its Owners Facing An Onslaught Of Securities Fraud Charges From Regulators
- Ismail Elmas Pleads Guilty to Wire Fraud
- Lee Michael Harrison Indicted on Three Counts of Wire Fraud
- Man and Sons Charged With Stealing $18 Million in Mail, Wire Fraud Scheme
- Meyer Wilson Attorneys Investigate Allegations Involving Former David Lerner Broker Michael Thomas Lombardo
- Ohio Financial Advisor Receives 17.5-year Prison Sentence for Fraud
- Ohio Investment Fraud Law Firm Continues Investigation Into Potential Recovery for Victims of Brenda Ashcraft’s Alleged Investment Fraud
- Pamela Hass Charged With 10 Counts of Wire Fraud, 11 Counts of Money Laundering
- Six Men Indicted in Nevada Over Fraudulent Investments Promoted Through Malom Group
- Victor Dandridge Gets Jail Time for Bank and Wire Fraud
