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- SIM Card Swapping and Crypto Theft: What You Need to Know
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- Investment Fraud
- How Can I Recover My Investment Losses?
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- What Are Common Examples of Broker Misconduct?
- Are Autocallable Notes Risky Investments?
- Are Futures Risky Investments?
- What to Do if Money Was Stolen From a Hacked Crypto Account
- What to Do if My Crypto.com Account Was Hacked
- What to Do if My Kraken Account Was Hacked
- What to Do if I Lost My Life Savings When Investing?
- What is a Variable Universal Life Policy?
- Can You Sue to Recover Losses from Options Trading?
- How to Report Unauthorized Trading
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- What’s the Difference Between Solicited & Unsolicited Trades?
- What Are the Risks of Whole Life Insurance?
- What Are the Most Common Life Insurance Investment Scams?
- What to Look for in an Investment Fraud Lawyer
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- How to Report a Pump and Dump Scheme
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- Examples of Pump and Dump Schemes
- What Is the SEC Rule 21F for Whistleblowers?
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- Examining the Risks of Variable Annuities
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- What Are the Risks of Options Trading?
- What Is Options Trading?
- Are Annuities a Scam?
- FINRA Rule 5320 Explained – Trading Ahead of Customer Orders
- How to File a Complaint With the SEC
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- What Are Exchange Traded Notes?
- Are Exchange Traded Notes High Risk Investments?
- What Constitutes Excessive Trading?
- Can a Broker Sell My Stocks Without Permission?
- What if a Broker doesn’t Sell Your Stock When Requested?
- What Is Considered Financial Advisor / Broker Negligence?
- Filing a Complaint Against an Investment Company in Ohio
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- How Long does FINRA Arbitration Take?
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- Can You Sue for Stock Losses?
- When Is a Trade Considered Unauthorized?
- Can You Sue for Losses from Excessive Use of Margin Trading?
- FINRA Rule 3110 – Supervision
- Warning Signs of a Bad Financial Advisor
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- Can a Financial Advisor Steal Your Money?
- What to Look for in Account Statements
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- What Questions Should I Ask?
- What Is “Selling Away”?
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- What Is a Master Limited Partnership?
- Variable Universal Life Policies
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- Gold Investments
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- Is It Legal for a Brokerage to Liquidate Your Account Without Notice?
- What Is a Margin Blowout?
- What Type of Attorney Do I Need to Recover Crypto Losses?
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- David P. Meyer, Esq.
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Brokerage Firms
- Losses Caused by GPB Capital Holdings
- AIG Sunamerica
- Allstate Financial Services, LLC
- Ameriprise Financial Services, LLC
- Axa Advisors, LLC
- Cambridge Investment Research, Inc.
- Capital Analysts Incorporated
- Capital Financial Group
- Cetera Advisor Networks
- Citigroup Global Markets
- Deutsche Bank Securities Inc.
- Farmers Financial Solutions LLC
- First Allied Securities, Inc.
- Fisher Investments
- FSC Securities Corp.
- Geneos Wealth Management
- Goldman Sachs
- H&R Block Financial Advisors
- Avantax Wealth Management (Formerly H.D. Vest Financial Services Inc.)
- Transamerica Financial Advisors (Formerly Intersecurities, Inc.)
- Janney Montgomery Scott LLC
- John Hancock Financial Network
- JP Morgan Chase
- Ladenburg Thalmann & Co.
- Laidlaw & Company Ltd.
- Lincoln Financial Network
- Lincoln Investment Planning, Inc.
- M Securities Investment, Inc.
- Metlife Securities, Inc
- MML Investors Services, Inc.
- Moors & Cabot, Inc.
- National Planning Corporation
- NEXT Financial Group
- NFP Advisor Services Group
- Northwestern Mutual
- Oppenheimer & Co.
- Piper Jaffray
- Primevest Financial Services, Inc.
- Princor Financial Services Corp.
- ProEquities, Inc.
- RBC Wealth Management
- Royal Alliance Associates, Inc.
- SagePoint Financial, Inc.
- Securian Financial Services, Inc.
- Securities America, Inc.
- Sigma Financial Corporation
- Southwest Securities
- Sterne Agee Financial Services, Inc.
- Stifel Nicolaus & Company
- Transamerica Financial Advisors, Inc.
- Triad Advisors
- U.S. Bancorp Investments, Inc.
- UBS Financial Services
- VSR Financial Services
- Waddell & Reed, Inc.
- Wells Fargo Advisors Financial Network (FiNet)
- Woodbury Financial Services Corp.
- Genworth Financial
- NEXT Financial Group, Inc.
- Parkland Securities, LLC
- Principal Securities
- Prospera Financial Services
- Northwestern Mutual Investment Services
- Packerland Brokerage Services, Inc.
- Park Avenue Securities
- Raymond James Financial Services, Inc.
- RBC Capital Markets, LLC
- Kestra Investment Services, LLC
- Kovack Securities Inc.
- LaSalle St. Securities
- Lincoln Financial Advisors Corporation
- Merrill Lynch
- MML Investors Services, LLC
- Morgan Stanley
- Nationwide Planning Associates, Inc.
- CUNA Brokerage Services, Inc.
- D.A. Davidson & Co.
- Equitable Advisors, LLC
- Equity Services, Inc.
- Arkadios Capital
- Ausdal Financial Partners
- Avantax Investment Services
- LPL Financial
- Commonwealth Financial Network
- Edward Jones
- Cadaret, Grant & Co., Inc.
- Calton & Associates
- Centaurus Financial
- CFD Investments
- Arete Wealth Management
- Robert W. Baird & Co. Incorporated
- Robinhood Financial, LLC
- Stifel, Nicolaus & Company, Incorporated
- TD Ameritrade, Inc.
- Lion Street Financial, LLC
- The Leaders Group, Inc.
- The O.N. Equity Sales Company
- Triad Advisors LLC
- United Planners Financial Services
- Voya Financial Advisors, Inc.
- Wells Fargo Securities, LLC
- Woodbury Financial Services, Inc.
- Cerity Partners
- Plante Moran Financial Advisors
- Heritage Investment Group
- Albion Financial Group
- Charles Schwab & Co., Inc.
- Ameritas Investment Corp.
- Spartan Capital Securities
- CUSO Financial Services
- The Vanguard Group, Inc.
- The Burish Group
- PFS Investments – Primerica Financial Services
- BlackRock Investments, LLC
- NYLIFE Securities LLC – New York Life
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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 Werning 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
- Aspen Bio Pharma: Navigating Investor Risks and Opportunities
- 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
- Broker Sean T. Sullivan Cited By FINRA For Unauthorized Trading Allegations
- 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
- China SXT Pharmaceuticals: Risks and Legal Concerns Explained
- ChromaDex: Risky Biotech Bet With Investor Losses
- Clearmind Medicine: Psychedelic Pharma Challenges
- CN Energy Group: Risks Revealed
- Cocrystal Pharma
- 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
- Digital Ally
- Document Security Systems
- Echo Therapeutics
- Ecmoho Limited
- Edward Jones, LPL, and Others Settle for $19M Over Excessive Commissions
- EZGO Technologies Delisting and Investment Risks
- Farmmi Inc. Investment Risks
- GigaCloud Technology: Is It a Risky Investment?
- 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
- Zoomcar, Inc. & Zoomcar Enterprises Corp.
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
- Avantax Investment Services Regulatory Issues and Complaints
- B. Riley Wealth Management: Complaints and History
- Barclays Capital: FINRA Fines and Investor Concerns Revealed
- 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 Werning 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
- Cabot Lodge Securities: Regulatory Actions and Investor Concerns
- 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?
- Canaccord Genuity Hit With Record $80 Million Penalty for Anti-Money Laundering Failures: What Investors Need to Know
- Cesar Omar Rodriguez Accused of Improperly Using Investor Funds
- Charlotte Guin Accused of Investment Misconduct, Meyer Wilson Werning Investigates
- Citigroup Admits That Unregistered Employees Directed Trading Desk Activities
- Cobra Trading
- 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
- DAI Securities: FINRA Fine and Broker Misconduct Allegations
- David Lerner Associates and Energy Investments
- Did You Invest With Morgan Stanley Broker Shawn E. Good?
- Did Your Broker Recommend a Fake Anduril Investment? Forge Global Lawsuit
- Did Your Broker Recommend Ngl Energy Partners?
- Did Your Financial Advisor Recommend GDP Capital Funds?
- Fidelity Brokerage Services Accused of Misconduct
- Fidelity Brokerage Services, LLC
- 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
- Forge Securities Complaints and FINRA Arbitration: How Investors Can Fight Back
- Former Ameriprise Broker Ted Cadwallader Accused of Misconduct, Meyer Wilson Werning 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 Werning 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
- Hedgehog Investments Under Utah Securities Investigation
- How Investment Fees Can Impact Your Portfolio
- How Investors Can Protect Themselves From Broker Fraud and Broker Bankruptcy
- Investigation: Meyer Wilson Werning 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
- Lifemark Securities Corp Regulatory Issues and Complaints
- 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 Werning Featured in National Press for $2.3 Million Carnegie Arbitration Award
- Meyer Wilson Werning Files Finra Arbitration Against Raymond James Relating to Broker Jeffrey Ingros
- Meyer Wilson Werning Investigates Accusations Involving Glenn A. Moffitt
- Meyer Wilson Werning Investigates Allegations Against Jeffrey Feldman in Connection With $15m Scam
- Meyer Wilson Werning Investigates Allegations of Malcolm Babin Misappropriating Funds
- Meyer Wilson Werning Investigates Barred Broker Gerald Roger Dewes
- Meyer Wilson Werning Investigates Barry Hartman Formerly of FSC Securities
- Meyer Wilson Werning Investigates Cincinnati Broker Matthew Roger Quinn
- Meyer Wilson Werning Investigates Claims Against Newbridge Securities Broker Scott S. Brooks for the Sale of GBP Capital Funds
- Meyer Wilson Werning Investigates Former Cape Securities Inc. Broker Paul Elvidge
- Meyer Wilson Werning Investigates Former Merrill Lynch Broker Roderick Yzaguirre
- Meyer Wilson Werning Investigates Misconduct Allegations Facing Former LPL Broker Julius Kenney
- Meyer Wilson Werning Investigates Possible Supervisory Failures of J.P. Morgan Securities LLC
- Meyer Wilson Werning Investigating Investor Losses in Business Development Companies
- Meyer Wilson Werning Is Representing Victims Of The Optionsellers.com Catastrophic Loss Event
- Meyer Wilson Werning Wins $2.3 Million Arbitration Award Against Carnegie Capital Asset Management
- Morgan Stanley Fined $2 Million Over Multiple Violations
- Morgan Stanley Loses Appeal of $3.3 Million Finra Arbitration Award
- Morgan Stanley Oversight Failure Leads to $15M SEC Fine
- 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
- Newbridge Securities: Regulatory Fines and Customer Complaints Revealed
- 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
- Osaic Wealth, Inc. Complaints: Regulatory Actions and Legal Troubles
- PNC Investments Complaints: Regulatory Actions and Customer Issues
- Private Placement Investments in the Hot Seat
- Recover Your Losses in GWG Holdings, Inc. with Meyer Wilson Werning
- 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 Merrill Lynch $7.5 Million for Suspicious Activity Reporting Failures
- SEC Fines Raymond James and Robert W. Baird & Co. $850,000 Over Compliance Failures
- Sestante Capital LLC: What Investors Need to Know After the Federal Indictment and Guilty Plea
- Six Men Indicted in Nevada Over Fraudulent Investments Promoted Through Malom Group
- Summit Brokerage Services, Inc.
- Sylvester King Jr. Faces Selling Away Accusations Involving Startup Company GVC
- The Aftermath of a Ponzi Scheme Collapse: Liability of Brokerage Firms
- The Complete List of Types of Brokerage Firms
- Thrivent Investment Management: Complaints and Regulatory Issues
- Top Ten Worst Financial Advisor Companies in 2025
- TradeStation Securities: Regulatory Issues
- 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 $3.4 Million Settlement Elderly Investor Case
- Wells Fargo Broker Aaron R. Parthemer Accused of Selling Away
Category: Client Successes
- Columbus Federal Court Judge Approves Settlement of $7,000,000 PNC Bank Employment Class Action
- Consumers to Receive More than $330 Apiece in TCPA Settlement
- Court Approves Final Nationwide Settlement Against Pergo
- Court Approves Final Nationwide Settlement Against Sage Software
- Court Approves Final Nationwide Settlement Against Wendy’s
- Court Approves Final Settlement Against Hyundai Motor Finance
- Court Approves Final Settlement of Nationwide Class Action Against Sears & Whirlpool
- Court Approves Final Settlement With Logitech
- Court Approves Final Settlement With Motorola
- Federal judge in North Carolina Orders Final Approval of Nationwide Class Action Against Lowe’s
- Indianapolis Federal Court Judge Approves Settlement of HHGregg Class Action
- Meyer Wilson Werning Wins Final Approval of California Class Action Settlement Against Office Depot
- Ohio Federal Court Approves Final Settlement in Case Against Jeld-Wen
- Seattle Federal Court Judge Approves Settlement of Sallie Mae Class Action
Category: Common Investment Abuses
- “CHiPs” Are Down for Larry Wilcox Who’s Accused of Securities Fraud
- “Pig Butchering” Scams Explained
- $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 Werning
- 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 Werning 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
- Blackstone Private Credit Fund (BCRED) Investor Alert: Q1 2026 Redemption Surge
- 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 You Suffer Losses in Blue Owl Capital BDC Investment Products?
- 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 Werning 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 Werning 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 Werning 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 Werning 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 Werning 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
- Market Linked Notes: Uncover Risks and Legal Rights
- Matthew A. Bell, Craig L. Josephberg Accused of Involvement in Pump & Dump Scheme
- Matthew J. Davis: Meyer Wilson Werning Investigates Claims Involving Former Oneamerica Broker
- Meyer Wilson Werning Attorneys Investigate Allegations Involving Former David Lerner Broker Michael Thomas Lombardo
- Meyer Wilson Werning Currently Investigating Allegations Against Former Broker Walter Francis Grenda, Jr.
- Meyer Wilson Werning Investigates Accusations Involving Broker Marc W. Evans
- Meyer Wilson Werning Investigates Accusations Involving Glenn A. Moffitt
- Meyer Wilson Werning Investigates Charges Against Michael J. Oppenheim for Stealing $20 Million From Clients
- Meyer Wilson Werning Investigates Dallas Broker Charged With Fraud
- Meyer Wilson Werning Investigates Former Securities Service Network Broker Dale Isaak
- Meyer Wilson Werning Investigates Jerry Irvin Chancy Over Selling Unapproved Investments to Customers
- Meyer Wilson Werning Investigates Misconduct Allegations Facing Former LPL Broker Julius Kenney
- Meyer Wilson Werning Investigates Misconduct Allegations Facing Larry Dearman of Oklahoma
- Meyer Wilson Werning Investigates Stockbroker Richard Gomez
- Meyer Wilson Werning Investigating Alleged Misconduct by Former LPL Broker Raymond D. Schmidt
- Meyer Wilson Werning Investigating Claims Involving Former Minnesota Broker Howard Richards
- Meyer Wilson Werning Investigating Investor Losses in Business Development Companies
- Meyer Wilson Werning Investigation: Former John Thomas Financial Broker Leonid Yurovsky
- Meyer Wilson Werning Law Firm Investigating Claims Involving Former Stockbroker Barkley J. Lundy, Jr.
- Molly K. Angelo Allegedly Converted Customer Funds: Meyer Wilson Werning 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
- Pre-IPO Investment Gone Wrong? How to Recover Losses From Your Broker
- 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
- Pump and Dump Schemes: What They Are and How to Recover
- 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 Werning Blog Series
- Being Thankful at Thanksgiving, an Investment Fraud Attorney’s Reflection
- Beware of Trusting Financial Advisors Based on Credentials Alone
- Bill Tunink Investor Complaints Rise Following LPL Financial Termination
- 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 Werning 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 Werning Investigates
- Former Cambridge Broker Ralph Savoie Accused of Misconduct, Meyer Wilson Werning 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 Werning 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 Werning 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 Werning 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
- Is Your Investment Safe? Investigation Into Osaic Wealth Advisor Betsy Lou Whipple
- Izak Zirk De Maison Accused of $27 Million in Investor Losses, Meyer Wilson Werning 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
- Jonathan Barter: $18M Dispute Over Unsuitable Municipal Bonds
- 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 Werning 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 Werning Investigates Claims Involving Former Oneamerica Broker
- Maui Businessman Pleads Guilty to 20-year Alleged Ponzi Scheme
- Meyer Wilson Werning Attorneys Investigate Allegations Involving Former David Lerner Broker Michael Thomas Lombardo
- Meyer Wilson Werning Attorneys Investigate Allegations Involving Former Stockbroker Derek Weaver
- Meyer Wilson Werning Attorneys Investigate Allegations Involving Greg Campbell
- Meyer Wilson Werning Currently Investigating Allegations Against Former Broker Walter Francis Grenda, Jr.
- Meyer Wilson Werning Investigates Allegations Against Broker Joseph Schroeder
- Meyer Wilson Werning Investigates Allegations Against Jeffrey Feldman in Connection With $15m Scam
- Meyer Wilson Werning Investigates Barry Hartman Formerly of FSC Securities
- Meyer Wilson Werning Investigates Charges Against Michael J. Oppenheim for Stealing $20 Million From Clients
- Meyer Wilson Werning Investigates Former Cape Securities Inc. Broker Paul Elvidge
- Meyer Wilson Werning Investigates Former Merrill Lynch Broker Roderick Yzaguirre
- Meyer Wilson Werning Investigates Former Securities Service Network Broker Dale Isaak
- Meyer Wilson Werning Investigates Former Voya / ING Financial Broker Giovanni L. Acevedo
- Meyer Wilson Werning Investigates Jerry Irvin Chancy Over Selling Unapproved Investments to Customers
- Meyer Wilson Werning Investigates Misconduct Allegations Facing Larry Dearman of Oklahoma
- Meyer Wilson Werning Investigates Possible Supervisory Failures of J.P. Morgan Securities LLC
- Meyer Wilson Werning Investigating Allegations Surrounding NFP Securities Broker Robert Regan
- Meyer Wilson Werning Investigating Alleged Misconduct by Former LPL Broker Raymond D. Schmidt
- Meyer Wilson Werning Investigating Claims Involving Former Minnesota Broker Howard Richards
- Meyer Wilson Werning Investigation: Former John Thomas Financial Broker Leonid Yurovsky
- Meyer Wilson Werning Law Firm Investigating Claims Involving Former Stockbroker Barkley J. Lundy, Jr.
- Meyer Wilson Werning 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 Werning 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 Werning Investigating
- Theodore Byrer Misconduct: Meyer Wilson Werning 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
- Tyson Allred: LPL Broker Faces $1.5M Dispute Over Investment Claims
- 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 Werning Investigating Potential Legal Claims Against Worden Capital Management Relating to Excessive and Unsuitable Trading by Stockbroker John Lopinto
- Meyer Wilson Werning Investigating Potential Legal Claims Involving Financial Advisor Richard Braverman of Geneos Wealth Management
- Meyer Wilson Werning Is Taking Calls From Clients of David N. Adams
- Meyer Wilson Werning 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 Werning 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 Consumer Investigations
Category: Current Investigations
- $5 Million Ponzi Scheme Defrauds Investors
- $56 Million Versity Investments Lawsuit: Are Versity Income Property Notes Safe?
- 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
- Aaron Sevigny Facing $2 Million Lawsuit and Investor Allegations at United Planners
- 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 Werning
- 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
- Blackstone Private Credit Fund (BCRED) Investor Alert: Q1 2026 Redemption Surge
- 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
- Brandon Hanna and Creative Planning Face $10 Million Investor Dispute Over Options Losses
- Brian Berger Accused of Stealing From Elderly Clients, Meyer Wilson Werning 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
- Carmen Morrone Faces $1 Million Investor Complaint Over DST Investment Losses
- 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 Werning 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
- Coinbase API Key Security Breaches: How They Happen
- 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 Werning
- 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 Suffer Losses in Blue Owl Capital BDC Investment Products?
- Did You Sustain Losses After Investing with Richard Belz?
- Did Your Broker Recommend a Fake Anduril Investment? Forge Global Lawsuit
- 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
- Edward Fernandez Customer Complaints and Capulent LLC Investment Loss Investigations
- 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
- Fake Trump Crypto Scam: Super Bowl Deepfake Defrauds Thousands as Fraud Site Remains Live
- 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
- Forge Securities Complaints and FINRA Arbitration: How Investors Can Fight Back
- 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 Werning 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 Werning 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 Werning 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 Werning 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 Advisor Darryl Cohen Barred: Allegations of Wire Fraud and Unauthorized Transfers
- 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 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 Werning 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 Werning 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 Werning 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
- Giovanni Pennetta Sentencing June 2026: Investor Recovery Options
- 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
- GWG Bonds Crisis: Insurance Woes for Emerson Equity
- 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?
- Hedgehog Investments Under Utah Securities Investigation
- 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
- Inspired Healthcare Capital Bankruptcy and Investor Recovery Options
- Investigating Claims Against TD Ameritrade, Aequitas Management
- Investigating Jason Price Lamb: Nashville Advisor Facing Over $1 Million in Claimed Losses
- Investigation Into Emerson Equity Broker James John Raia Following $940,000 Investor Claim
- Investment Complaints Against Dexter Thomas: Investors Seeking Over $9.3 Million in Damages
- Investment Fraud Attorneys at Meyer Wilson Werning Receiving Calls From Victims in Madison Timber Alleged Ponzi Scheme
- Investment Fraud Law Firm Meyer Wilson Werning Uncovers Significant Details About Patricia Miller’s Alleged Ponzi Scheme
- Investor Warning: WhatsApp Impersonation Scam Targeting Cryptocurrency Victims
- 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 Werning 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
- James Robert Pecoraro Facing FINRA Complaint for Alleged Churning and Unsuitable Trading
- 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 Joseph Stapleton Faces Serious FINRA Allegations for Churning and Excessive Trading
- John Micera Broker Scandal: Unsuitability Claims Topple High-Risk Structured Notes
- Jon Cirelli: Reported Investor Complaints and Allegations of Misconduct
- 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
- 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 Werning Investigates
- LPL Financial Investigation | LPL REIT Losses Investigation
- Man and Sons Charged With Stealing $18 Million in Mail, Wire Fraud Scheme
- Marc Frederick Korsch Regulatory and Customer Dispute Disclosures
- 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
- Massive Binance Data Leak: 149 Million Login Credentials Reported Exposed in Global Breach
- Matthew J. Davis: Meyer Wilson Werning Investigates Claims Involving Former Oneamerica Broker
- Merrill Lynch Broker James Lowther Accused of Unauthorized Trading
- Merrill Lynch Fined $7 Million by FINRA
- Meyer Wilson Werning Attorneys Investigate Allegations Involving Former David Lerner Broker Michael Thomas Lombardo
- Meyer Wilson Werning Attorneys Investigate Allegations Involving Former Stockbroker Derek Weaver
- Meyer Wilson Werning Attorneys Investigate Allegations Involving Greg Campbell
- Meyer Wilson Werning Currently Investigating Accusations Against Former Rockwell Broker Denny Darmodihardjo
- Meyer Wilson Werning Currently Investigating Allegations Against Former Broker Walter Francis Grenda, Jr.
- Meyer Wilson Werning Files Finra Arbitration Against Raymond James Relating to Broker Jeffrey Ingros
- Meyer Wilson Werning Files Second FINRA Arbitration Against World Group Securities
- Meyer Wilson Werning Investigates Accusations Involving Broker Marc W. Evans
- Meyer Wilson Werning Investigates Accusations Involving Glenn A. Moffitt
- Meyer Wilson Werning Investigates Allegations Against Bennett Scott Broad
- Meyer Wilson Werning Investigates Allegations Against Broker Joseph Schroeder
- Meyer Wilson Werning Investigates Allegations Against Jeffrey Feldman in Connection With $15m Scam
- Meyer Wilson Werning Investigates Allegations Against the LJM Preservation and Growth Fund
- Meyer Wilson Werning Investigates Allegations Made Against Jack Allen Scherbert
- Meyer Wilson Werning Investigates Allegations of Malcolm Babin Misappropriating Funds
- Meyer Wilson Werning Investigates Alvery Bartlett for Alleged Unsuitable Investment Recommendations
- Meyer Wilson Werning Investigates Barry Hartman Formerly of FSC Securities
- Meyer Wilson Werning Investigates Bernard Adair for Unsuitable Investment Recommendations
- Meyer Wilson Werning Investigates Broker Daniel Barnard for Unsuitable Investment Recommendations
- Meyer Wilson Werning Investigates Broker Jeffrey Furniss
- Meyer Wilson Werning Investigates Broker Matthew Buchsbaum for Multiple Allegations
- Meyer Wilson Werning Investigates Broker Robert Wolfe
- Meyer Wilson Werning Investigates Broker Stuart Pearl
- Meyer Wilson Werning Investigates Broker Thomas Riquier for Allegations of Defrauding Investors
- Meyer Wilson Werning Investigates Broker Tony Barouti for GWG L Bond Sales
- Meyer Wilson Werning Investigates Charges Against Michael J. Oppenheim for Stealing $20 Million From Clients
- Meyer Wilson Werning Investigates Cincinnati Broker Matthew Roger Quinn
- Meyer Wilson Werning Investigates Claims of Broker Misconduct against Samuel Rankin
- Meyer Wilson Werning Investigates Clark Harris for Broker Misconduct
- Meyer Wilson Werning Investigates Dallas Broker Charged With Fraud
- Meyer Wilson Werning Investigates Former Broker Bryan Anderson for Allegedly Employing Ponzi Scheme
- Meyer Wilson Werning Investigates Former Cape Securities Inc. Broker Paul Elvidge
- Meyer Wilson Werning Investigates Former Merrill Lynch Broker Roderick Yzaguirre
- Meyer Wilson Werning Investigates Former Morgan Stanley Broker David Olson Regarding Allegations of Engaging in Undisclosed Outside Business Activities
- Meyer Wilson Werning Investigates Former Morgan Stanley Broker Thomas Meier
- Meyer Wilson Werning Investigates Former Morgan Stanley Broker Timothy Gibbons for Allegations of Unsuitable Recommendations to Elderly Clients
- Meyer Wilson Werning Investigates Former Nylife Securities Llc Broker Alan New for Selling Clients Woodbridge Mortgage Investment Fund
- Meyer Wilson Werning Investigates Former Securities Service Network Broker Dale Isaak
- Meyer Wilson Werning Investigates Former Voya / ING Financial Broker Giovanni L. Acevedo
- Meyer Wilson Werning Investigates Jerry Irvin Chancy Over Selling Unapproved Investments to Customers
- Meyer Wilson Werning Investigates Mark Lott
- Meyer Wilson Werning Investigates Misconduct Allegations Facing Former LPL Broker Julius Kenney
- Meyer Wilson Werning Investigates Misconduct Allegations Facing Larry Dearman of Oklahoma
- Meyer Wilson Werning Investigates Ponzi Scheme Allegations Against Former Broker Malcolm Segal
- Meyer Wilson Werning Investigates Possible Supervisory Failures of J.P. Morgan Securities LLC
- Meyer Wilson Werning Investigates Rathnakishore Giri for Investment Fraud
- Meyer Wilson Werning Investigates Stockbroker Richard Gomez
- Meyer Wilson Werning Investigates Unsuitable Investments Claims against Broker Kevin C. Butler
- Meyer Wilson Werning Investigates Wunderlich Securities, Inc. Financial Advisor Jack Mcbride for Alleged Unauthorized and Unsuitable Transactions
- Meyer Wilson Werning Investigating Accusations Against Former Edward Jones Broker Anthony C. Gray
- Meyer Wilson Werning Investigating Accusations Against Former Edward Jones Stockbroker Bernard Parker
- Meyer Wilson Werning Investigating Allegations Against Former Broker Timothy Francis Dufresne
- Meyer Wilson Werning Investigating Allegations Surrounding NFP Securities Broker Robert Regan
- Meyer Wilson Werning Investigating Alleged Misconduct by Former LPL Broker Raymond D. Schmidt
- Meyer Wilson Werning Investigating Annuity Fraud Claims Against Broker Roger S. Zullo
- Meyer Wilson Werning Investigating Broker Gregg D. Templeton over Allegations of Misrepresentation and Omissions
- Meyer Wilson Werning Investigating Claims Against Ameriprise Financial Broker Jeffrey Krupnick
- Meyer Wilson Werning Investigating Claims Against Broker Andrew Scheirer
- Meyer Wilson Werning Investigating Claims Against Broker Andrew Yocum
- Meyer Wilson Werning Investigating Claims Against Broker Bradley Ross
- Meyer Wilson Werning Investigating Claims Against Broker Bryon Martinsen
- Meyer Wilson Werning Investigating Claims Against Broker Cary Kievman
- Meyer Wilson Werning Investigating Claims Against Broker Christopher Bond
- Meyer Wilson Werning Investigating Claims Against Broker Craig Lansing Hayward
- Meyer Wilson Werning Investigating Claims Against Broker David Colflesh
- Meyer Wilson Werning Investigating Claims Against Broker Dion Padilla
- Meyer Wilson Werning Investigating Claims Against Broker Eduardo Alaman
- Meyer Wilson Werning Investigating Claims Against Broker Erryn Barkett
- Meyer Wilson Werning Investigating Claims Against Broker Gerald Ohalloran
- Meyer Wilson Werning Investigating Claims Against Broker Gregory Van Winkle
- Meyer Wilson Werning Investigating Claims Against Broker Howard Brous
- Meyer Wilson Werning Investigating Claims Against Broker Jacquin Fink
- Meyer Wilson Werning Investigating Claims Against Broker James Noto
- Meyer Wilson Werning Investigating Claims Against Broker Kim Isaacson
- Meyer Wilson Werning Investigating Claims Against Broker Landon Williams
- Meyer Wilson Werning Investigating Claims Against Broker Samuel Koltun
- Meyer Wilson Werning Investigating Claims Against Broker Steven Orr
- Meyer Wilson Werning Investigating Claims Against Broker Walter Marino
- Meyer Wilson Werning Investigating Claims Against Broker William David Utanski
- Meyer Wilson Werning Investigating Claims Against Broker William Harvey
- Meyer Wilson Werning Investigating Claims Against Broker William Heiden
- Meyer Wilson Werning Investigating Claims Against Broker Zahir Walji
- Meyer Wilson Werning Investigating Claims Against Dean Mustaphalli
- Meyer Wilson Werning Investigating Claims Against Former Broker Barry Connell
- Meyer Wilson Werning Investigating Claims Against Former Broker Brandon Gioffre
- Meyer Wilson Werning Investigating Claims Against Former Broker Charles Lynch
- Meyer Wilson Werning Investigating Claims Against Former Broker Clark Gardner
- Meyer Wilson Werning Investigating Claims Against Former Broker Claus Foerster
- Meyer Wilson Werning Investigating Claims Against Former Broker Darrell Smith
- Meyer Wilson Werning Investigating Claims Against Former Broker Gary Donovan
- Meyer Wilson Werning Investigating Claims Against Former Broker James Mahan
- Meyer Wilson Werning Investigating Claims Against Former Broker Jay Gruenebaum
- Meyer Wilson Werning Investigating Claims Against Former Broker Jeffrey Howell
- Meyer Wilson Werning Investigating Claims Against Former Broker Jerry Mccutchen
- Meyer Wilson Werning Investigating Claims Against Former Broker Jesse Litvak
- Meyer Wilson Werning Investigating Claims Against Former Broker John Corsi
- Meyer Wilson Werning Investigating Claims Against Former Broker John Howard Towers
- Meyer Wilson Werning Investigating Claims Against Former Broker John S. Hudnall
- Meyer Wilson Werning Investigating Claims Against Former Broker Jonathan Williams
- Meyer Wilson Werning Investigating Claims Against Former Broker Lance J. Ziesemer
- Meyer Wilson Werning Investigating Claims Against Former Broker Leonard Allen Goldberg
- Meyer Wilson Werning Investigating Claims Against Former Broker Mark Speakman
- Meyer Wilson Werning Investigating Claims Against Former Broker Michael Barranco
- Meyer Wilson Werning Investigating Claims Against Former Broker Nathan Bartow
- Meyer Wilson Werning Investigating Claims Against Former Broker Nicholas Bonacci
- Meyer Wilson Werning Investigating Claims Against Former Broker Paul Blum
- Meyer Wilson Werning Investigating Claims Against Former Broker Ronald W. Nichter
- Meyer Wilson Werning Investigating Claims against Former Broker Scott Goldman
- Meyer Wilson Werning Investigating Claims Against Former Broker Thomas Paul Schober
- Meyer Wilson Werning Investigating Claims Against Former Broker Tye Williams
- Meyer Wilson Werning Investigating Claims Against Former Cambridge Broker Sheldon J. Harber
- Meyer Wilson Werning Investigating Claims Against Former LPL Financial Broker Gerard A. Fagnant
- Meyer Wilson Werning Investigating Claims Against Oppenheimer Broker Matthew Giannone
- Meyer Wilson Werning Investigating Claims Against Wells Fargo Broker Robert Giusti
- Meyer Wilson Werning Investigating Claims Involving Former Broker Ken Balser
- Meyer Wilson Werning Investigating Claims Involving Former Minnesota Broker Howard Richards
- Meyer Wilson Werning Investigating Complaints Against Former Broker Glenn Robert King
- Meyer Wilson Werning Investigating Former Broker / Advisor Steven Fonda for Unauthorized Trading
- Meyer Wilson Werning Investigating Former Ohio SA Stone Wealth Broker Terminated for Selling Away
- Meyer Wilson Werning Investigating Former Questar Capital Corporation Broker Kevin D. Wanner
- Meyer Wilson Werning Investigating Investor Losses in Business Development Companies
- Meyer Wilson Werning Investigating Larry S. Werbel Investment Fraud Allegations
- Meyer Wilson Werning Investigating Misrepresentation Claims against Broker Arthur S. Hoffman
- Meyer Wilson Werning Investigating Multiple Stockbroker Fraud Allegations against William Francis Gillis
- Meyer Wilson Werning Investigating Overconcentration Allegations Against Margaret Lech-Loubet
- Meyer Wilson Werning Investigating Potential Investment Fraud Claims Involving Sean D. Casterline
- Meyer Wilson Werning Investigating Potential Investment Loss Claims Involving Alleged Misconduct by Financial Advisor John J. Maloney III
- Meyer Wilson Werning Investigating Potential Investment Misconduct Claims Involving Financial Advisor David Howard Fagenson
- Meyer Wilson Werning Investigating Potential Legal Claims Involving Financial Advisor Richard Braverman of Geneos Wealth Management
- Meyer Wilson Werning Investigating Representative Darren Oglesby Amidst Allegations of Misconduct by His Customers
- Meyer Wilson Werning Investigating Stockbroker Misconduct Complaints against Broker Hilary Joseph Zimmerman
- Meyer Wilson Werning Investigation: Former John Thomas Financial Broker Leonid Yurovsky
- Meyer Wilson Werning Is Investigating Aegis Capital Corp. Broker Dominick Diorio Regarding Allegations of Misconduct
- Meyer Wilson Werning Is Investigating Ameriprise Financial Services Broker James Kujawski for Allegations of Misconduct
- Meyer Wilson Werning Is Investigating Broker Scott Palmer Regarding Customer Disputes Alleging Overconcentration
- Meyer Wilson Werning Is Investigating Former JP Morgan Broker Farid Morim for Alleged Conversion of Customer Assets
- Meyer Wilson Werning Is Investigating Former Newbridge Securities Corporation Broker Brian Berger for Allegations of Fraud and Other FINRA Rule Violations
- Meyer Wilson Werning Is Representing Investors in Claims Involving Columbus Broker Craig Sutherland
- Meyer Wilson Werning Is Taking Calls From Clients of David N. Adams
- Meyer Wilson Werning Launches Forge Securities Investigation, Featured in Business Insider
- Meyer Wilson Werning Law Firm Investigating Alleged Misconduct by Now-Former Merrill Lynch Financial Advisor John M. James
- Meyer Wilson Werning Law Firm Investigating Claims Involving Former Stockbroker Barkley J. Lundy, Jr.
- Meyer Wilson Werning Law Firm Investigating Claims Involving Stockbroker Kirsten Flynn Hawkins
- Meyer Wilson Werning Receiving Calls from Aggrieved Customers of Broker Jorge Meza
- Meyer Wilson Werning Representing Investors in Annuity Misrepresentation Case
- Meyer Wilson Werning Representing Investors in Claims Involving Improper Reit Sales and Other Unsuitable Investments Sold by Cetera Advisors
- Meyer Wilson Werning Representing Investors in Claims Involving Michigan Broker Bassam Salem
- Meyer Wilson Werning Representing Victims of Reuben Brown’s Clover Capital Scheme
- Meyer Wilson Werning Representing Victims of the Enviro Board Investment Scheme
- Meyer Wilson Werning Securities Attorneys Looking Into Allegations Against Broker Ronald Rothchild
- Meyer Wilson Werning 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 Werning’s Investigation Into Next Financial Group
- Micah Rayner: Florida Broker Faces $2M Investment Disputes
- Michael Clifford Graham LPL Financial Discharge and Fraud Allegations
- Michael Lickiss Faces $11 Million Fraud Allegation Among Other Investigations
- 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 Werning 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
- NextGenTech Investments: Inside the Alleged Pre-IPO Fraud
- Northeast Ohio Broker Geoffrey W. Nehrenz Sentenced to Nearly 5 Years
- Nouachi Vang Fraud Allegations and LPL Financial Investor Recovery Options
- 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
- OpenAI Pre-IPO Investment Scam: How to Spot Fake Offers Before You Lose Money
- 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
- Peter David Maller and Osaic Wealth Under Investigation for Unsuitable Investment Recommendations
- 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
- Priority Income Fund Investor Alert: NAV Decline and Broker Complaints
- 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
- QT Imaging Collapse Leaves Investors Facing Massive Losses
- Randall Duggan Of Moloney Securities Investigated For Unsuitable Advice In GWG Securities
- Raymond James Broker Thomas Whitmeyer O’Brien Is the Subject of a Customer Complaint
- Recover Your Losses in GWG Holdings, Inc. with Meyer Wilson Werning
- 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
- Sestante Capital LLC: What Investors Need to Know After the Federal Indictment and Guilty Plea
- 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”
- SpaceX Pre-IPO Scams: How Fraudsters Are Exploiting the Biggest IPO in History
- Steven Knuttila Investigated for Unsuitability and Poor Investment Advice
- Steven Luftschein under Investigation for Alleged Unauthorized Trading, Other Stockbroker Misconduct
- Stifel Nicolaus Broker Dave Stone Faces Seven Figure Investor Disputes Alleging Fraud
- 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 Werning Are Investigating Claims and Speaking to Victims of Philip Incorvia’s Alleged Ponzi Scheme
- The SEC Indicts Former Nomura Traders With Fraud, Meyer Wilson Werning Investigating
- The Truth About Alleged Native American Federal Income Tax Credit Fraud and Your Recovery Options
- There Is a 75% Chance One of These Deceptive Practices Is Affecting You
- Thomas Caniford Indicted for Securities Fraud and Theft, Meyer Wilson Werning 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
- Travis J. Lippmann Faces $607,052 Damages Claim and Multiple Customer Disputes
- Two Former Brokers Barred for Their Alleged Roles in Pension Fund Scandal, Top Official Navnoor Kang Charged With Fraud
- Tyson Allred: LPL Broker Faces $1.5M Dispute Over Investment Claims
- 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 Werning Hired by Former Clients of Ohio Stockbroker Christopher Todd Wendel
- Uranium Finance Collapse: Jonathan Spalletta Indicted in $54.7 Million Crypto Hack
- 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 Werning Law Firm to Recover Losses
- Victor M Torres Facing One Million Dollar Arbitration for VUL Misrepresentation
- Vista Fund Losses: Inside Oppenheimer’s Private Market Debacle
- Was Your Anduril Pre-IPO Investment Legitimate? Here’s How to Find Out
- 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
- 2024 SEC Charges Kenneth Mattson with $46 Million Church Fraud
- Aging Brains Reported to Be Scientifically More Susceptible to Fraud
- AI-Powered Scam Calls Are Getting More Convincing: What Families Need to Know
- Are Brokerages and Advisors Doing Enough to Protect Seniors?
- Brandon “Mr. Finance” Ellington Accused of Running Ponzi-Like Scheme
- Broker Sean T. Sullivan Cited By FINRA For Unauthorized Trading Allegations
- Courtney Werning Joins Money Life to Discuss the Psychology of Investment Fraud and How to Protect Your Family
- Courtney Werning of Meyer Wilson Werning Featured on NightSide with Dan Rea on WBZ Boston
- Deepfakes, voice cloning and weaponised AI: Global wake-up call to organised fraud
- 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
- Former Edward Jones Advisor Eijroghene Okuma Pleads Guilty in $10 Million Fraud Scheme
- Government Impersonation Scams Are Now a Crypto Crisis. The FBI’s 2025 Internet Crime Report Proves It.
- 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
- Inside the JPMorgan Chase Arbitration Case: How an Elderly Widow Lost $8 Million Under the Bank’s Watch
- Investigate Before You Invest
- Julie Darrah SEC Case Reveals $2M Elder Financial Abuse Scheme
- New Nationwide Collaborative Effort to Prevent Elder Investment Fraud
- North Canton Ohio Man William Morgan Sent to Prison for Stealing From Elderly
- Ohio Is Treating Romance Scams Like the Public Health Crisis They Are
- 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
- Wells Fargo $3.4 Million Settlement Elderly Investor Case
- 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
- Aspiration Partners Co-Founder Sentenced to 14 Years in $248 Million Fraud
- Financial Fraud Is on the Rise According to Officials, Scamming Billions of Dollars From Investors
- Former Edward Jones Advisor Eijroghene Okuma Pleads Guilty in $10 Million Fraud Scheme
- 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
- Northwestern Mutual Advisor John Jay Kersey Barred After $12 Million in Alleged Damages (2026 Update)
- 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?
- 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
- James Robert Pecoraro Facing FINRA Complaint for Alleged Churning and Unsuitable Trading
- John Joseph Stapleton Faces Serious FINRA Allegations for Churning and Excessive Trading
- Meyer Wilson Werning’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
- Chris Parker and Courtney Werning Breakdown Pig Butchering on the Easy Prey Podcast
- Courtney Werning Warns Spectrum News Viewers About the Rise of Social Media Crypto Scams
- Cryptocurrency Investor Protection Is Failing. These 5 Reforms Could Change That
- David Meyer on the Liquid Lunch Project: Deepfakes, Pig Butchering, and How to Protect Your Money
- DEADLINE ENDING SOON: The Importance of Personal Finance Education Scholarship 2025
- Meyer Wilson Werning Featured in National Press for $2.3 Million Carnegie Arbitration Award
- Meyer Wilson Werning Named 2025 CrispX Firm of the Year
- Meyer Wilson Werning Named to 2023 “Best Law Firms” List
- Meyer Wilson Werning Principal Courtney Werning Attends PIABA Hill Day 2025
- Meyer Wilson Werning Wins $2.3 Million Arbitration Award Against Carnegie Capital Asset Management
- Tom Manning Investment Fraud Indictment Shakes Ohio
Category: FINRA
- 12 Facts Every Investor Should Know About FINRA BrokerCheck
- 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
- Andrew Camarda Facing Over 4 Million in Pending Investor Disputes
- Are the Sales of Private Placements an Indication of Brokers Gone Bad?
- Are You a Former Client of Ricky Mantei?
- Austin Bowlin of Aurora Securities Faces $1 Million FINRA Complaint
- 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
- Bond Ladder Investment Strategy and Risks
- 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
- Canaccord Genuity Hit With Record $80 Million Penalty for Anti-Money Laundering Failures: What Investors Need to Know
- Cape Securities Censured by FINRA: GWG L Bond Overconcentration and Reg BI Failures Affect Senior Investors
- Cetera Investment Services Fined $1.1 Million Over Alleged AML and Supervision Lapses
- Chicago Broker Bhenoy Dembla Barred by FINRA Over Falsifying Mutual Fund Sales Orders
- Chris Kazan Faces $1.5 Million Investor Complaint Over Unsuitable Private Placements
- 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
- Dan Goodwin Faces Investor Disputes Over Allegations 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?
- Did You Lose Money with Zachary Taylor? Investigation Into Former Oppenheimer Broker
- 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
- Eric Dupre, Formerly of Ameriprise, Barred by FINRA for Borrowing $2.2M From Clients
- Eric Kleiner FINRA Bar and $400,000 Morgan Stanley Investor Dispute
- 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 Rule 2210 Amendment Removes Key Investor Protections on Performance Projections
- FINRA Securities Helpline for Seniors Hits First Year
- FINRA Selling Away: Rules 3270 and 3280 Protect Investors
- 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
- Houston Broker Eduardo Leon Jr. Suspended Twice Following $750k Loan and High-Risk Bond Claims
- 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?
- Investigating Broker James Mariani and Claims of Unsuitable Investment Recommendations
- 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
- John Palma: $500K Complaint Against Barred SW Financial Advisor
- Juan Hua Liang Faces $1M FINRA Claim Over GWG Bond Sales
- Keith D’Agostino Update: New Regulatory Sanctions and 2025 Investor Disputes
- 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 Werning Calls on FINRA to Redirect $100 Million Rebate Toward Unpaid Investor Awards
- Meyer Wilson Werning Currently Investigating Accusations Against Former Rockwell Broker Denny Darmodihardjo
- Meyer Wilson Werning Investigates Allegations Against Bennett Scott Broad
- Meyer Wilson Werning Investigates Former Morgan Stanley Broker David Olson Regarding Allegations of Engaging in Undisclosed Outside Business Activities
- Meyer Wilson Werning Investigates Unsuitable Investments Claims against Broker Kevin C. Butler
- Meyer Wilson Werning Investigating Broker Gregg D. Templeton over Allegations of Misrepresentation and Omissions
- Meyer Wilson Werning Investigating Claims Against Ameriprise Financial Broker Jeffrey Krupnick
- Meyer Wilson Werning Investigating Claims Against Broker David Colflesh
- Meyer Wilson Werning Investigating Claims Against Broker Gerald Ohalloran
- Meyer Wilson Werning Investigating Claims Against Broker William Harvey
- Meyer Wilson Werning Investigating Claims Against Dean Mustaphalli
- Meyer Wilson Werning Investigating Claims Against Former Broker Barry Connell
- Meyer Wilson Werning Investigating Claims Against Former Broker Claus Foerster
- Meyer Wilson Werning Investigating Claims Against Former Broker Jay Gruenebaum
- Meyer Wilson Werning Investigating Claims Against Former Broker John Corsi
- Meyer Wilson Werning Investigating Claims Against Former Broker Mark Speakman
- Meyer Wilson Werning Investigating Claims against Former Broker Scott Goldman
- Meyer Wilson Werning Investigating Claims Against Former Broker Tye Williams
- Meyer Wilson Werning Investigating Claims Against Oppenheimer Broker Matthew Giannone
- Meyer Wilson Werning Investigating Claims Against Wells Fargo Broker Robert Giusti
- Meyer Wilson Werning Investigating Claims Involving Former Broker Ken Balser
- Meyer Wilson Werning Investigating Investor Losses in Business Development Companies
- Meyer Wilson Werning Investigating Misrepresentation Claims against Broker Arthur S. Hoffman
- Meyer Wilson Werning Investigating Multiple Stockbroker Fraud Allegations against William Francis Gillis
- Meyer Wilson Werning Investigating Potential Investment Fraud Claims Involving Sean D. Casterline
- Meyer Wilson Werning Investigating Potential Legal Claims Against Worden Capital Management Relating to Excessive and Unsuitable Trading by Stockbroker John Lopinto
- Meyer Wilson Werning Investigating Stockbroker Misconduct Complaints against Broker Hilary Joseph Zimmerman
- Meyer Wilson Werning Opposes FINRA Rule 3290 Rollbacks as Anti-Investor Protection
- Meyer Wilson Werning Principal Courtney Werning’s Leadership Recognized with Appointment to FINRA’s National Arbitration and Mediation Committee
- Meyer Wilson Werning Wins $971,500 FINRA Arbitration on Behalf of Ohio Retirees
- Meyer Wilson Werning Wins Full Investment Losses For Gpb Investor Against Hightower Securities
- Meyer Wilson Werning’s Investigation Into Next Financial Group
- Michael Magruder Barred by FINRA After Customer Loan Allegations and Settlements
- 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
- Pacific Oak Strategic Opportunity REIT Losses
- 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 Arbitration Process: A 7 Step Guide
- 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 Betrayal Born of Negligence: Why the Coinbase Breach Creates a Powerful Case for Victims
- 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
- Anti-Money Laundering Laws: FINRA Rule 3310
- 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
- B. Riley Baby Bonds: Risks, Losses, and Legal Options
- 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
- Can Someone Hack a Coinbase Account With a Screenshot?
- CDs Not as Safe as Many Investors Believe
- CEO of Samex Capital Agrees to Plead Guilty in Alleged Ponzi Scheme Case
- Challenging Liability Waivers in Crypto Exchange User Agreements
- 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
- Class Action vs. Arbitration: Maximizing Your Recovery After Crypto Losses
- Coinbase Account Hacked: What Victims Need to Know
- Coinbase API Key Security Breaches: How They Happen
- Coinbase Cryptocurrency Scams: Social Engineering Is On the Rise
- Coinbase New User Agreement Arbitration Clause Changes
- 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
- Courtney Werning’s Leadership as a Cryptocurrency Fraud Lawyer
- 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 2026 “Lawyer of the Year” by Best Lawyers in America®
- 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?
- 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
- Filing a Demand for Arbitration Against a Crypto Exchange With AAA
- 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 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 File an IC3 Report After Your Crypto Was Stolen
- How to Hire a Blockchain Forensic Firm After Your Crypto Was Stolen
- How to Identify and Protect Yourself From Excessive Trading
- How Using Arbitration Through Your Exchange’s User Agreement Helps Recover Stolen Crypto
- 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
- Investment Adviser, Broker, or Financial Advisor: Know Your Type of Financial Professional
- 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 Protection & Advocacy: Meyer Wilson Werning’s Fight for Financial Fairness
- 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
- Matthew R. Wilson Named 2026 “Lawyer of the Year” by Best Lawyers in America®
- 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 Changes Its Name to Meyer Wilson Werning
- Meyer Wilson Werning Attorneys Named To 2021 Super Lawyers List
- Meyer Wilson Werning Earns Tier 1 “Best Law Firms” Ranking
- Meyer Wilson Werning Fights Against Data Breaches
- Meyer Wilson Werning Included in List of the Best Lawyers at a Tier 1 Law Firm
- Meyer Wilson Werning Investigates Misconduct Allegations of Former LPL Financial Broker Thomas H. Caniford of North Canton, Ohio
- Meyer Wilson Werning Investigating Claims Against Former Broker Mark Speakman
- Meyer Wilson Werning Investigating Claims Against Former Brokers Wendy Feldman and Peter Doyle
- Meyer Wilson Werning Investigating Claims Against Oppenheimer Broker Matthew Giannone
- Meyer Wilson Werning Listed as a Tier 1 Best Law Firm
- Meyer Wilson Werning Named 2018 Tier 1 Best Law Firm
- Meyer Wilson Werning Named Among the 2026 Best Law Firms in America®
- Meyer Wilson Werning Named Tier 1 in 2020 “Best Law Firms”
- Meyer Wilson Werning Named to 2022 “Best Law Firms” List
- Meyer Wilson Werning Opens Third Office in Cleveland, Ohio
- Meyer Wilson Werning Partners Earn 2022 Best Lawyers “Lawyer Of The Year” Awards
- Meyer Wilson Werning Speaking Engagement
- Meyer Wilson Werning Wins FINRA Arbitration
- Meyer Wilson Werning 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
- Navigating S&P 500 Futures: An Investor’s Guide
- 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 Full Arbitration Timeline for Crypto Theft Claims
- 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
- The Smart Lawyer’s Guide to Investment Fraud: Meyer Wilson Werning Attorneys to Present CLE
- 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 Are Equity-Linked Notes (ELNs)?
- What Are Stablecoins?
- What Happens After a Brokerage Account Holder Dies?
- What Is Being Done to Protect Senior Investors?
- What Is Cherry Picking?
- What is the SEC IAPD (Investment Adviser Public Disclosure) And How to Use It
- 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.
- Why a Veteran Securities Law Firm is Your Strongest Ally in a Crypto Dispute
Category: General News
- Attorney Dave Meyer Featured in Securities Law Daily™
- Attorney David Meyer Quoted in News Article about Huntington Bank Ponzi Scheme Liability
- Attorney Matthew R. Wilson to Speak at AAJ Class Action Seminar
- David Meyer Co-Author’s PIABA Report Calling for Congress to Act on Unpaid FINRA Awards
- David Meyer Featured on Preferred Capital Funding’s Podcast The Result
- David P. Meyer Begins PIABA Presidency with Call to Oppose SEC “Finder” Rule, Improve BrokerCheck
- David P. Meyer Co-Authors PIABA Study on FINRA Expungement Process
- David P. Meyer Named to the Best Lawyers in America 2020
- Life Time Fitness Agrees to $10-15 Million Class Action Settlement Over TCPA Violations
- Meyer Wilson Werning Accepting New Case Involving Amputations While On Invokana
- Meyer Wilson Werning Adds Cleveland Office
- Meyer Wilson Werning Attorney Courtney Werning to Speak at Nationwide Gathering of Litigators
- Meyer Wilson Werning Attorneys Recognized by Super Lawyers Magazine (2013)
- Meyer Wilson Werning Case Update: Court Upholds Claims that CVS Violated HIV Patients’ Privacy
- Meyer Wilson Werning Featured in Crain’s Cleveland Business
- Meyer Wilson Werning Files First Lawsuit in Federal Court Against Robinhood
- Meyer Wilson Werning Files Lawsuit in Deloitte Data Breach
- Meyer Wilson Werning Mentioned in WSOCTV Article on Charles Caleb Fackrell
- Meyer Wilson Werning Named to “Best Law Firms” 2016 List by U.S. News
- Meyer Wilson Werning Sues Porsche for Malfunctioning Infotainment System
- Meyer Wilson Werning Wins Nationwide Class Certification for Consumers Called by DirecTV
- Our Recent Class Action Sent Close to $50k to Benefit Habitat for Humanity
- Quicken Loans Unable to Escape Attempt Robocall Lawsuit
- Vivint to Pay $6 Million to Settle Robocall Lawsuit
Category: Holiday Scams
Category: In the News
- $3.4 Million Crypto Scam Started with a “Wrong Number” Text: How the Scheme Worked
- 2025 Coinbase Data Breach and a $20M Ransom Demand
- 2025 GWG Bond Update: Beneficient’s $50.5 Million Settlement Offer in the GWG Bankruptcy
- 5 Ways to Protect Your Cryptocurrency From Fraud & Hacking
- 7 Steps White River Tribal Tax Credit Scam Investors Should Take
- 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
- B. Riley Baby Bonds: Risks, Losses, and Legal Options
- B. Riley Financial Under Investigation by FINRA for Potential Securities Violations
- BBB and FINRA Create New Smart Investing Website
- Blackstone’s BREIT Market Stability: An Investment Concern?
- Boca Raton Broker Alan Applebaum Involved in Several Customer Disputes
- Boston Broker David Manor Resigns From Wells Fargo, Faces FINRA Complaint
- Broker Isaiah Williams Arrested for $2.59 Million Misappropriation from Former Dolphins Player
- Broker Matthew Buchsbaum Faces Investor Complaints
- California Securities America Broker Ronald J. Roach Pleads Guilty for Role in Massive Ponzi Scheme
- Chris Parker and Courtney Werning Breakdown Pig Butchering on the Easy Prey Podcast
- Colorado Broker Daniel Todd Levine Barred by FINRA
- Congress Votes in the Middle of the Night to Give Big Banks Immunity from Lawsuits
- Courtney Werning Joins Money Life to Discuss the Psychology of Investment Fraud and How to Protect Your Family
- Courtney Werning of Meyer Wilson Werning Featured on NightSide with Dan Rea on WBZ Boston
- Courtney Werning Tells David Meltzer: Crypto Investors Have More Legal Protection Than They Think
- Courtney Werning Warns Spectrum News Viewers About the Rise of Social Media Crypto Scams
- Cryptocurrency Investor Protection Is Failing. These 5 Reforms Could Change That
- 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 on News 3 Las Vegas: AI Is Making World Cup Scams Nearly Impossible to Spot
- David Meyer on the Liquid Lunch Project: Deepfakes, Pig Butchering, and How to Protect Your Money
- 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
- Denver Adviser Ian Gregory Bell Sentenced for $1.3 M Fraud Involving Pro Athletes
- Did Christopher Bond Engage in Unauthorized Trading in Your Account?
- Did Gustavo Miramontes Make Unauthorized and Unsuitable Trades in Your Account?
- 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 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
- Edward Jones Settles For $17 Million Over Brokerage-to-Advisory Account Transfers
- Ex-NBA Agent Charles Briscoe Sentenced in $13 Million Fraud Scheme
- Fake Trump Crypto Scam: Super Bowl Deepfake Defrauds Thousands as Fraud Site Remains Live
- Federal Authorities Seize $61 Million in Digital Assets Linked to North Carolina Cryptocurrency Scams
- Fidelity Fined $600K for Employee Stock Plan Account Theft
- Finance Influencer Tyler Bossetti Faces Fraud Charges Over $11 Million Scheme
- 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 Broker Lisa Boisselle and Wealthwise Tied to $1.4 Million in Crypto Schemes
- 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
- Giovanni Pennetta Sentencing June 2026: Investor Recovery Options
- Government Impersonation Scams Are Now a Crypto Crisis. The FBI’s 2025 Internet Crime Report Proves It.
- Grant Cardone Lawsuit Revived After 15% Returns Promised
- Indiana Case Highlights Investment Fraud Dangers of Self-Directed IRAs
- Inside the JPMorgan Chase Arbitration Case: How an Elderly Widow Lost $8 Million Under the Bank’s Watch
- Inspired Healthcare Capital Fund Losses
- Investopedia Features David Meyer: 6 Costly Retirement Tax Mistakes to Avoid
- Investors Beware of Coronavirus (Covid-19) Pump and Dump Schemes
- Investors Beware of Structured Products
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- Jared Connors Named 2025-2026 Super Lawyers Rising Star for Class Action & Mass Torts
- JP Morgan Chase Bank Terminates Trevor Rahn After Allegations of Broker Misconduct
- JPMorgan Reached $151 Million Regulatory Settlement
- 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
- Massive Binance Data Leak: 149 Million Login Credentials Reported Exposed in Global Breach
- Merrill Lynch Broker Heather Weber the Subject of Numerous Customer Complaints
- Meyer Wilson Werning Attorney Courtney Werning Helps Couple Recover $100k in Losses
- Meyer Wilson Werning Calls on FINRA to Redirect $100 Million Rebate Toward Unpaid Investor Awards
- Meyer Wilson Werning Earns Tier 1 “Best Law Firms” Ranking
- Meyer Wilson Werning Featured in National Press for $2.3 Million Carnegie Arbitration Award
- Meyer Wilson Werning Included in List of the Best Lawyers at a Tier 1 Law Firm
- Meyer Wilson Werning Investigating Potential Investment Fraud Claims Involving Sean D. Casterline
- Meyer Wilson Werning Investigating Potential Legal Claims Involving Financial Advisor Richard Braverman of Geneos Wealth Management
- Meyer Wilson Werning Launches Forge Securities Investigation, Featured in Business Insider
- Meyer Wilson Werning Listed as a Tier 1 Best Law Firm
- Meyer Wilson Werning Named 2018 Tier 1 Best Law Firm
- Meyer Wilson Werning Named Tier 1 in 2020 “Best Law Firms”
- Meyer Wilson Werning Named to 2022 “Best Law Firms” List
- Meyer Wilson Werning Partners Earn 2022 Best Lawyers “Lawyer Of The Year” Awards
- Meyer Wilson Werning Partners Earn 2024 Lawyer of the Year Honors from Best Lawyers
- Meyer Wilson Werning Partners Named to 2019 Ohio Super Lawyers List
- Meyer Wilson Werning Partners Named To 2021 Best Lawyers, David Meyer Named Lawyer Of The Year
- Meyer Wilson Werning Principal Courtney Werning Quoted in Wall Street Journal
- Meyer Wilson Werning Wins Full Investment Losses For Gpb Investor Against Hightower Securities
- Michigan Law Firm Meyer Wilson Werning 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
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- News: ITG Charged With Working a Secret Trading Desk and Exploiting Subscriber Information
- News: Meyer Wilson Werning 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
- NextGenTech Investments: Inside the Alleged Pre-IPO Fraud
- 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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- QT Imaging Collapse Leaves Investors Facing Massive Losses
- RAD Diversified REIT Operators Face Ponzi Scheme Allegations
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- Recent Stock Market Losses May Reveal Unsuitable Investments in Your Portfolio
- RegBI: What Regulation Best Interest Means for Investors | Meyer Wilson Werning Investment Attorneys
- Retail Ecommerce Ventures Accused of $112 Million Ponzi Scheme Behind RadioShack Comeback
- Reverse Churning Exposed: How Investment Advisors Prioritize Profits Over Clients
- SEC Announces $10 Million Settlement with Tomislav Vukota and His Firms
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- SEC Indicts Former LPL Broker Kerry L. Hoffman on $3.3m Investor Fraud
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- Senator Sherrod Brown Takes Weak Regulators To Task For Failing To Look After Main Street Investors
- SIM Swap Case Against AT&T Revived by Appeals Court
- SpaceX Pre-IPO Scams: How Fraudsters Are Exploiting the Biggest IPO in History
- Starwood REIT (SREIT) Investors Encounter Troubling Redemption Restrictions
- Stifel Nicolaus Faces $132.5 Million Arbitration Award Tied to Chuck Roberts
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- Stock Market Today: Margin and Naked Options Strategies Devastate Investors
- SunPower Chapter 11 Bankruptcy: What It Means for Investors
- The Collapse of the Easterly ROCMuni Fund (RMHIX, RMHVX, RMJAX)
- The GENIUS Act of 2025 and Its Impact on Payment Stablecoins
- The GPB Capital Fraud Case Moves Forward As $400 Million Finally Reaches Investors
- Tom Manning Investment Fraud Indictment Shakes Ohio
- Top 10 Warning Signs of Investment Fraud
- Top 8 Risks of Delaware Statutory Trusts
- Trial Begins for Ohio Pension Leaders Accused in $65 Billion STRS Corruption Scheme
- UBS $1.1 Million Settlement: Blue Sheet Reporting Failures
- UBS Broker Jose Cornide Hit With Unsuitability, Misrepresentation Complaints
- UBS Broker Nicolas Barrios Barred for Failure to Cooperate With Fraud Investigation
- United Planners Faces More Legal Challenges Over Advisor Misconduct
- Uranium Finance Collapse: Jonathan Spalletta Indicted in $54.7 Million Crypto Hack
- Utah Lpl Rep Jason Nelson Barred By FINRA
- Vibecoding Is Changing How Software Gets Built. It’s Also Creating Legal Liability.
- Victims of Bernie Madoff May Receive Another $247 Million for Losses
- Washington State Warns Investors About MMOCoin and ROYCoin Cryptocurrency Platforms
- Webull Financial Fined $1.6 Million for FINRA Violations
- What the “Chud the Builder” Case Reveals About Pump.fun and the Dangers of Viral Crypto Investing, Particularly Meme Coins
- White River Tax Credit Scam Losses
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Category: Insurance Fraud
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- Are You a Former Client of Ricky Mantei?
- Can You Sue Someone for Investment Fraud? Legal Steps to Recovery
- Chicago Broker Bhenoy Dembla Barred by FINRA Over Falsifying Mutual Fund Sales Orders
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- 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
- Life Insurance Fraud Through Twisting and Churning Explained
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- The 10 Most Common Investment Scams
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Category: Investment Fraud
- “Exclusive” and “Private” Offers: How to Spot a Scam
- “Pig Butchering” Scams Explained
- “The Investor Protector” By David P. Meyer Now Available
- $3.4 Million Crypto Scam Started with a “Wrong Number” Text: How the Scheme Worked
- $5 Million Ponzi Scheme Defrauds Investors
- $50 Million Ponzi Scheme in Southwest Ohio
- $56 Million Versity Investments Lawsuit: Are Versity Income Property Notes Safe?
- 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
- 8 Customer Complaints Accuse Broker Ashley Woodard of Unsuitable Investment Recommendations
- 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
- Advisor Bill Collins the Subject of Unauthorized Trading Complaints
- Aegis Capital Corp. & Representatives Implicated in Microcap Stock Scheme
- AI and Cryptocurrency Turned the 2026 FIFA World Cup Into the Most Dangerous Fraud Environment Ever Built
- AI Investment Fraud and Algorithmic Trading Scams Targeting San Francisco Engineers
- AI-Powered Scam Calls Are Getting More Convincing: What Families Need to Know
- 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
- Aspiration Partners Co-Founder Sentenced to 14 Years in $248 Million Fraud
- Attorney David P. Meyer Named One of the “Best Lawyers in America®”
- Austin Bowlin of Aurora Securities Faces $1 Million FINRA Complaint
- Aventura, Fl Financial Advisor Izhar Shefer Accused of Unsuitable Investments
- Avoiding Scams During the Holidays: Part One of a Six-Part Meyer Wilson Werning 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?
- Can You Sue the Broker Who Recommended a Fraudulent Investment?
- Cape Securities Censured by FINRA: GWG L Bond Overconcentration and Reg BI Failures Affect Senior Investors
- 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 Knight Lopez Sentenced to 10 Years in Federal Prison for $17 Million Ponzi Scheme
- 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 Meyer on News 3 Las Vegas: AI Is Making World Cup Scams Nearly Impossible to Spot
- 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?
- 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 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?
- Did You Lose Money in Energy Investments Recommended by Former Stifel, Nicolaus & Company Financial Advisor Andrew Elsoffer?
- 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?
- Dimitrios Michelis and UBS Financial Services Face $5.8 Million in Customer Claims Over Alleged REIT Misconduct
- 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 and International Partners Arrest 276 in Coordinated Crackdown on Crypto Scam Centers
- FBI Publishes Warning about Binary Options Fraud
- FBI Reports: Investment Fraud Schemes and Investment Losses on the Rise in 2012
- Federal Authorities Seize $61 Million in Digital Assets Linked to North Carolina Cryptocurrency Scams
- 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
- First Crowdfunding Fraud Charges Filed in Massachusetts
- 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 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 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
- George Thoreson Barred by SEC Following Pump and Dump Scheme Allegations
- Get-Rich Quick Scams to Look Out for in 2017
- Glen Arm Man Indicted for $14 Million Maryland Investment Scam
- Gold Investment Scam Among Accusations Against CFO
- 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
- H.R. 9500 Would Stop the IRS From Taxing Money That Was Stolen From You
- Have You Suffered Losses in Hospitality Investors Trust REIT?
- Hedge Fund Fraud Was “Brazen Web of Lies”
- Hedge Fund Ponzi Scheme Leads to More Than $15 Million in Losses
- High Speed Trading: More Risk Than Reward?
- Hilliard Lyons Broker Christopher Bennett Ordered to Pay $445,000 in Damages to Customer in FINRA Arbitration
- How Are Unlisted REITs Like Apple REIT 10 Potentially Unsuitable for Me?
- How Brokers, Advisers, and Other Financial Professionals Mislead Investors
- How Disruption Week Exposed the Scale of Pig Butchering Scams Targeting Americans
- How Do You Prove Investment Fraud: Why Investors Need an Attorney on Their Side
- How Does FINRA Define High-risk Brokers?
- How Individual Investors Can Guard Against Excessive Fees and Self-Serving Brokers
- How Social Isolation Increases the Risk of Investment Fraud
- How Social Media Scammers and Pump Groups Target Los Angeles Investors
- 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
- HyperFund Crypto Fraud: What to Know About Recovery After the $1.89 Billion Collapse
- 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
- Inspired Healthcare Capital Bankruptcy and Investor Recovery Options
- Invested in Anduril Through Sestante Capital? Here’s What You Need to Know
- 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 Werning 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
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- Investment Scammer Jason Michael Meyer Sentenced in $11m Scheme
- Investment Scams In 2020 You Could Be Targeted By
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- 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
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- JJB Hilliard, WL Lyons Broker Michael Barnett Facing Allegations of Investment Misconduct
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- Martin Wegener New England Financial | Michigan Stockbroker Fraud
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- Merrill Lynch Broker James Lowther Accused of Unauthorized Trading
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- Meyer Wilson Werning Attorney Courtney Werning Helps Couple Recover $100k in Losses
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- Meyer Wilson Werning Investigates Former Morgan Stanley Broker Timothy Gibbons for Allegations of Unsuitable Recommendations to Elderly Clients
- Meyer Wilson Werning Investigates Former Nylife Securities Llc Broker Alan New for Selling Clients Woodbridge Mortgage Investment Fund
- Meyer Wilson Werning Investigates Oppenheimer’s Vista Fund II
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- Meyer Wilson Werning Investigates Wunderlich Securities, Inc. Financial Advisor Jack Mcbride for Alleged Unauthorized and Unsuitable Transactions
- Meyer Wilson Werning Investigating Annuity Fraud Claims Against Broker Roger S. Zullo
- Meyer Wilson Werning Investigating Broker Gregg D. Templeton over Allegations of Misrepresentation and Omissions
- Meyer Wilson Werning Investigating Claims Against Ameriprise Financial Broker Jeffrey Krupnick
- Meyer Wilson Werning Investigating Claims Against Broker Andrew Scheirer
- Meyer Wilson Werning Investigating Claims Against Broker Christopher Bond
- Meyer Wilson Werning Investigating Claims Against Broker David Colflesh
- Meyer Wilson Werning Investigating Claims Against Broker Erryn Barkett
- Meyer Wilson Werning Investigating Claims Against Broker Gerald Ohalloran
- Meyer Wilson Werning Investigating Claims Against Broker Howard Brous
- Meyer Wilson Werning Investigating Claims Against Broker Samuel Koltun
- Meyer Wilson Werning Investigating Claims Against Broker Walter Marino
- Meyer Wilson Werning Investigating Claims Against Broker William Harvey
- Meyer Wilson Werning Investigating Claims Against Dean Mustaphalli
- Meyer Wilson Werning Investigating Claims Against Former Broker Barry Connell
- Meyer Wilson Werning Investigating Claims Against Former Broker Jay Gruenebaum
- Meyer Wilson Werning Investigating Claims Against Former Broker Jesse Litvak
- Meyer Wilson Werning Investigating Claims Against Former Broker John Corsi
- Meyer Wilson Werning Investigating Claims Against Former Broker Mark Speakman
- Meyer Wilson Werning Investigating Claims against Former Broker Scott Goldman
- Meyer Wilson Werning Investigating Claims Against Former Broker Tye Williams
- Meyer Wilson Werning Investigating Claims Against Oppenheimer Broker Matthew Giannone
- Meyer Wilson Werning Investigating Claims Involving Former Broker Ken Balser
- Meyer Wilson Werning Investigating Former Broker / Advisor Steven Fonda for Unauthorized Trading
- Meyer Wilson Werning Investigating Former Ohio SA Stone Wealth Broker Terminated for Selling Away
- Meyer Wilson Werning Investigating Misrepresentation Claims against Broker Arthur S. Hoffman
- Meyer Wilson Werning Investigating Multiple Stockbroker Fraud Allegations against William Francis Gillis
- Meyer Wilson Werning Investigating NYC REIT Sales
- Meyer Wilson Werning Investigating Overconcentration Allegations Against Margaret Lech-Loubet
- Meyer Wilson Werning Investigating Potential Investment Fraud Claims Involving Sean D. Casterline
- Meyer Wilson Werning Investigating Potential Investment Loss Claims Involving Alleged Misconduct by Financial Advisor John J. Maloney III
- Meyer Wilson Werning Investigating Potential Investment Misconduct Claims Involving Financial Advisor David Howard Fagenson
- Meyer Wilson Werning Investigating Potential Legal Claims Against Worden Capital Management Relating to Excessive and Unsuitable Trading by Stockbroker John Lopinto
- Meyer Wilson Werning Investigating Potential Legal Claims Involving Financial Advisor Richard Braverman of Geneos Wealth Management
- Meyer Wilson Werning Investigating Stockbroker Misconduct Complaints against Broker Hilary Joseph Zimmerman
- Meyer Wilson Werning Is Investigating Aegis Capital Corp. Broker Dominick Diorio Regarding Allegations of Misconduct
- Meyer Wilson Werning Is Investigating Ameriprise Financial Services Broker James Kujawski for Allegations of Misconduct
- Meyer Wilson Werning Is Investigating Broker Scott Palmer Regarding Customer Disputes Alleging Overconcentration
- Meyer Wilson Werning Is Investigating Former Newbridge Securities Corporation Broker Brian Berger for Allegations of Fraud and Other FINRA Rule Violations
- Meyer Wilson Werning Is Representing Investors in Claims Involving Columbus Broker Craig Sutherland
- Meyer Wilson Werning Is Representing Victims Of The Optionsellers.com Catastrophic Loss Event
- Meyer Wilson Werning Is Taking Calls From Clients of David N. Adams
- Meyer Wilson Werning Law Firm Contacted by Victims of Alleged Ponzi Scheme Run by Former Pennsylvania Stockbroker Patricia S. Miller
- Meyer Wilson Werning Law Firm Investigating Alleged Misconduct by Now-Former Merrill Lynch Financial Advisor John M. James
- Meyer Wilson Werning Law Firm Investigating Claims Involving Stockbroker Kirsten Flynn Hawkins
- Meyer Wilson Werning Named to 2022 “Best Law Firms” List
- Meyer Wilson Werning Representing Investors in Annuity Misrepresentation Case
- Meyer Wilson Werning Representing Victims of the Enviro Board Investment Scheme
- Meyer Wilson Werning Securities Attorneys Looking Into Allegations Against Broker Ronald Rothchild
- Meyer Wilson Werning 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 Werning Wins $971,500 FINRA Arbitration on Behalf of Ohio Retirees
- Meyer Wilson Werning Wins Jury Verdict
- Meyer Wilson Werning’s Investigation Into Next Financial Group
- Michael P. Spolar Faces Charges of Investment Unsuitability
- Michael Romano Under Fire: $4M in Suitability Claims at Arete Wealth
- Michigan Law Firm Meyer Wilson Werning 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
- Morgan Stanley Oversight Failure Leads to $15M SEC Fine
- Multimillion-Dollar Ponzi Scheme Targets Seniors and Lifelong Friends
- Nanban Ventures Accused of $130M Ponzi Scheme Targeting Indian Americans
- NanoBit Crypto Fraud: SEC Wins Landmark Pig Butchering Case
- 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
- Oklahoma Creates New Cybercrime Unit to Combat AI Scams and Cryptocurrency Fraud
- Orlando Man Terry Scott Hyder Gets Prison for Defrauding Elderly Out of Savings in NC FL
- Parmjit Parmar Sentenced for Securities Fraud
- Patrick Capital Markets Investigated for Conservation Easement Losses
- 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
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- 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
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- 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
- Recovering Losses After the 2025 Coinbase Hack and Data Breach
- Red Flags to Look Out for From Your Financial Professional
- Religious Affinity Fraud: A Guide to Protecting Your Faith and Finances
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- Retired NBA All-Star Loses Nearly $86m in Alleged Investment Fraud
- Rick Konecny Investigated for Unsuitable Investments, Unauthorized Trading & Overconcentration
- Robert Dunlap Sentenced to 23 Years for Meta-1 Coin Cryptocurrency Fraud
- Robert Scott Smith Emerson Equity LLC Investor Lawsuit Investigation
- Robinhood Fined $45 Million by the SEC for Compliance and Cybersecurity Failures
- 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 21 in Decade-Long Insider Trading Scheme Tied to Global Law Firms
- 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 John Sterling Myers of Sterling Capital With Fraud, Misappropriation, and Fabricated Returns
- SEC Charges Nathan Fuller in Alleged $12.3 Million AI Crypto Trading Bot Fraud Scheme
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- 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
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- 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
- Shaun Orcinolo: $2M Dispute Over Unsuitable Investments
- 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
- Steps to Recover from Investment Fraud: Your Action Plan
- Steven Knuttila Investigated for Unsuitability and Poor Investment Advice
- Steven Luftschein under Investigation for Alleged Unauthorized Trading, Other Stockbroker Misconduct
- Stifel Nicolaus Faces $2.3 Million Fine Over Exchange-Traded Products Supervision Failures
- 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 Werning 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
- The Truth About Alleged Native American Federal Income Tax Credit Fraud and Your Recovery Options
- 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 Burkhalter’s Guilty Plea in an Alleged Real Estate Ponzi Scheme: What Investors Need to Know
- 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 MJ Capital Ponzi Scheme and Rising Tide Payouts
- 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 Werning Hired by Former Clients of Ohio Stockbroker Christopher Todd Wendel
- Uranium Finance Collapse: Jonathan Spalletta Indicted in $54.7 Million Crypto Hack
- 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
- Vision & Beyond Group LLC Lawsuit Bank Fraud Allegations and Investor Recovery
- 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
- Was Your Anduril Pre-IPO Investment Legitimate? Here’s How to Find Out
- 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?
- Western Asset Management Fined $100M Over Cherry-Picking Allegations
- What Are the Signs of a Nutraceutical Stock Scam?
- What Are the Warning Signs of Bait and Switch Investment Fraud?
- What Is Cherry Picking?
- What the “Chud the Builder” Case Reveals About Pump.fun and the Dangers of Viral Crypto Investing, Particularly Meme Coins
- What to Do When a Friend Tries to Pressure You Into Investment Fraud
- What We Can Learn From the Alleged Goldline International Scam
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- 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
- William Shane Garrow Pleads Guilty to $4.2 Million Scheme
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- Xue Heu Sentenced for $1m Investment Fraud Schemes
Category: Investment Misconduct
- Claims Against Pacific West Securities, Inc. Relating to Several Alternative Investments, Including DPPs, Equipment Leasing and Oil and Gas Investments
- David Meyer Co-Author’s PIABA Report Calling for Congress to Act on Unpaid FINRA Awards
- Law Firm of Meyer Wilson Werning Investigating Apple REIT Investments
- Meyer Wilson Werning Team Wins Full Recovery for Investors at FINRA Arbitration
- The Meyer Wilson Werning Law Firm Has Been Hired By Clients With Claims Related to Former H.D. Vest Investment Securities Broker Lewis J. Hunter. Victims of Lewis J. Hunter’s Fraud Could Recover Lost Investment Money.
Category: Investor Information
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- Congress Votes in the Middle of the Night to Give Big Banks Immunity from Lawsuits
- Courtney Werning Tells David Meltzer: Crypto Investors Have More Legal Protection Than They Think
- Cy Pres Award Boosts Mission of University of Miami Investor Rights Clinic
- Defrauding Investors by Inflating Fund Performance
- Did You Lose Money in an Account Managed by Tony Brookfield?
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- Do You Understand the Fees Your Broker Is Charging?
- Dodd-Frank Act: Reshaping Wall Street and Consumer Protection
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- Federal Court Upholds Dol Fiduciary Duty Rule
- FINRA Changes Could Make It Harder for Brokers to Hide the past
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- 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 Rule 2210 Amendment Removes Key Investor Protections on Performance Projections
- FINRA Warns Investors Over Boiler Room Scams
- Former Broker Evan Kochav Sentenced to 8 Years
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- How to Identify and Protect Yourself From Excessive Trading
- How to Recover Losses in FIP
- Inland Real Estate Income Trust: Investment Losses
- Introducing Crypto Court: Navigating Legal Recovery When Crypto Exchanges Fail
- Investopedia Features David Meyer: 6 Costly Retirement Tax Mistakes to Avoid
- 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 Werning Attorney Courtney Werning to Present at Piaba Annual Meeting
- Meyer Wilson Werning Investigating Investor Losses in Business Development Companies
- Meyer Wilson Werning 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
- Oklahoma Creates New Cybercrime Unit to Combat AI Scams and Cryptocurrency Fraud
- OpenAI Pre-IPO Investment Scam: How to Spot Fake Offers Before You Lose Money
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- Protect Your Hard-Earned Money by Learning How Boiler Room Scams Work
- Recent Stock Market Losses May Reveal Unsuitable Investments in Your Portfolio
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- Understanding Initial Coin Offerings
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- 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
- Yield Curve Steepener Trades: High Risks for Uninformed Investors
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
- H.R. 9500 Would Stop the IRS From Taxing Money That Was Stolen From You
- Investor Protection & Advocacy: Meyer Wilson Werning’s Fight for Financial Fairness
- Is Your Adviser a “Registered Investment Adviser” or a “Broker-Dealer”? (The Answer Matters)
- Meyer Wilson Werning Opposes FINRA Rule 3290 Rollbacks as Anti-Investor Protection
- 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
- Yield Curve Steepener Trades: High Risks for Uninformed Investors
- Your Investment Loss May Not Have Been Your Fault
Category: Mail Fraud
Category: Meet the Firm
- Attorney Courtney Werning Named Principal At The Meyer Wilson Werning Law Firm
- Beyond the Courtroom: How MWW Fought for Investor Education in 2025
- Introducing Crypto Court: Navigating Legal Recovery When Crypto Exchanges Fail
- Jared Connors Named 2025-2026 Super Lawyers Rising Star for Class Action & Mass Torts
- Meyer Wilson Werning Sponsors Inaugural HERstory Luncheon at Ohio State’s Moritz College of Law
- Ohio Women in Leadership: Redefining Success and Protecting Financial Futures
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
- 2025 Coinbase Data Breach and a $20M Ransom Demand
- 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 Werning 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®
- B. Riley Financial Under Investigation by FINRA for Potential Securities Violations
- Barclays Capital Inc. Fined $1.3 Million for Extensive Violations and Failures
- Blackstone’s BREIT Market Stability: An Investment Concern?
- 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
- Courtney Werning Presents in PLI’s Securities Arbitration 2025
- Courtney Werning’s Leadership as a Cryptocurrency Fraud Lawyer
- Cy Pres Award Boosts Mission of University of Miami Investor Rights Clinic
- 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 2026 “Lawyer of the Year” by Best Lawyers in America®
- 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 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
- Edward Jones Settles For $17 Million Over Brokerage-to-Advisory Account Transfers
- FBI Warns of Get-Rich-Quick Schemes
- FBI Warns of Increase in IRS Impersonation Scams
- Federal Court Upholds Dol Fiduciary Duty Rule
- Fidelity Fined $600K for Employee Stock Plan Account Theft
- Finance Influencer Tyler Bossetti Faces Fraud Charges Over $11 Million Scheme
- 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
- Grant Cardone Lawsuit Revived After 15% Returns Promised
- Hannah S. Robinson Wins 2024 Meyer Wilson Werning Scholarship
- 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 Werning the Importance of Personal Finance Education Scholarship
- Jared Connors Named 2025-2026 Super Lawyers Rising Star for Class Action & Mass Torts
- 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
- LPL Financial Anti-Money Laundering Failures Lead to $18 Million SEC Fine
- 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
- Matthew R. Wilson Named 2026 “Lawyer of the Year” by Best Lawyers in America®
- Merrill Lynch Broker Heather Weber the Subject of Numerous Customer Complaints
- Meyer Wilson Changes Its Name to Meyer Wilson Werning
- Meyer Wilson Werning Attorney Courtney Werning Helps Couple Recover $100k in Losses
- Meyer Wilson Werning Attorneys Named To 2021 Super Lawyers List
- Meyer Wilson Werning Included in List of the Best Lawyers at a Tier 1 Law Firm
- Meyer Wilson Werning Investigating Potential Legal Claims Against Worden Capital Management Relating to Excessive and Unsuitable Trading by Stockbroker John Lopinto
- Meyer Wilson Werning Listed as a Tier 1 Best Law Firm
- Meyer Wilson Werning Named 2018 Tier 1 Best Law Firm
- Meyer Wilson Werning Named 2025 CrispX Firm of the Year
- Meyer Wilson Werning Named Among the 2026 Best Law Firms in America®
- Meyer Wilson Werning Named Tier 1 in 2020 “Best Law Firms”
- Meyer Wilson Werning Named to 2022 “Best Law Firms” List
- Meyer Wilson Werning Named to Super Lawyers 2023 List
- Meyer Wilson Werning Partners Named to 2019 Ohio Super Lawyers List
- Meyer Wilson Werning Sponsors Inaugural HERstory Luncheon at Ohio State’s Moritz College of Law
- 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 Werning 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
- Ohio Women in Leadership: Redefining Success and Protecting Financial Futures
- Oppenheimer & Co. Sanctioned $2.9 Million in Fines and Other Penalties for Unsuitable Sales
- Osaic and Securities America Fined by FINRA For Cybersecurity Failures
- Portland Wells Fargo Advisor Eric Neidermeyer Facing New Complaint Over Investor Losses, Risky Investments
- Raymond James Financial: Potential $40 Million in Penalties
- Raymond James Fined $17 Million for Systemic Anti-Money Laundering Compliance Failures
- Robinhood Fined $45 Million by the SEC for Compliance and Cybersecurity Failures
- San Antonio Broker Derrick Trussell Barred by FINRA for Failing to Comply With Regulatory Investigation Over Outside Business Activities
- Sara MacNeil Wins Meyer Wilson Werning’s 2025 Scholarship
- SEC and FINRA Fine Merrill Lynch
- SEC Fined Two Sigma For Fiduciary and Whistleblower Breaches
- 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
- SIM Swap Case Against AT&T Revived by Appeals Court
- 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
- Starwood REIT (SREIT) Investors Encounter Troubling Redemption Restrictions
- States Are Stepping Up With Fiduciary Rules of Their Own
- Stifel Nicolaus Faces $2.3 Million Fine Over Exchange-Traded Products Supervision Failures
- Stifel Nicolaus Involved in Negligence Case Worth $132 Million
- Stock Market Today: Margin and Naked Options Strategies Devastate Investors
- Tampa Investment Firm Equialt Accused Of Running 170m Ponzi Scheme
- The Debate Continues Over Whether Life Settlements Are Really Securities
- The GENIUS Act of 2025 and Its Impact on Payment Stablecoins
- The Supreme Court Just Settled a Debate About Fraud Recovery That Has Divided Courts for Years
- Top 10 Warning Signs of Investment Fraud
- United Planners Faces More Legal Challenges Over Advisor Misconduct
- Vanguard $106 Million Settlement: SEC Charges Over Fund Mismanagement
- Wells Fargo $3.4 Million Settlement Elderly Investor Case
- Were You Sold Non-Traded REITs by Former Cetera Broker Darryl Ferguson?
- William Shane Garrow Pleads Guilty to $4.2 Million Scheme
Category: News
Category: Ohio Cases
- AI Scams in Ohio: Courtney Werning in the Akron Beacon Journal
- 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
- Matthew Motil Sentenced to Prison Following $7 Million “Cash Flow King” Ponzi Scheme
- Meyer Wilson Werning Investigating Larry S. Werbel Investment Fraud Allegations
- Meyer Wilson Werning Wins $2.3 Million Arbitration Award Against Carnegie Capital Asset Management
- Nationwide to Pay $8 Million Over Variable Annuity Failures
- New Details Emerge in Dayton, Ohio Ponzi Scheme Case
- Northwestern Mutual Advisor John Jay Kersey Barred After $12 Million in Alleged Damages (2026 Update)
- Ohio Is Treating Romance Scams Like the Public Health Crisis They Are
- 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
- 2024 SEC Charges Kenneth Mattson with $46 Million Church Fraud
- Aaron Wagner and Michael Mains Face Superseding Indictment in Utah Restaurant Fraud Case
- 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
- Brandon “Mr. Finance” Ellington Accused of Running Ponzi-Like Scheme
- CFTC Charges Perlman and Iglobal With Defrauding Deaf Investors in Commodity Pool Ponzi Scheme
- Christopher Knight Lopez Sentenced to 10 Years in Federal Prison for $17 Million Ponzi Scheme
- Connecticut Ponzi Scheme Results in Ten Year Prison Sentence
- Craig Allen Sentenced in Atlanta Securities Fraud Lawsuit Involving The Cheetah Fund
- 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
- David Bradford Pleads Guilty to Drive Planning LLC Ponzi Scheme Fraud
- 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?
- Goliath Ventures Founder Christopher Delgado Pleads Guilty to $250 Million Cryptocurrency Fraud
- Hedge Fund Ponzi Scheme Leads to More Than $15 Million in Losses
- How to Recover iCap Equity Losses After Ponzi Scheme Ruling
- HyperFund Crypto Fraud: What to Know About Recovery After the $1.89 Billion Collapse
- 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
- Lawsuit Against Lighthouse Estates LLC Alleges Ponzi-Style Real Estate Fraud
- 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
- Marat Likhtenstein SEC Fraud Charges and Osaic Wealth Investor Recovery Options
- Marcello Trebitsch Pleads Guilty to Defrauding Investors Out of Nearly $6m
- Matthew Motil Sentenced to Prison Following $7 Million “Cash Flow King” Ponzi Scheme
- Meyer Wilson Werning Investigates Investment Adviser John Woods for “Horizon Private Equity” Ponzi Scheme
- Meyer Wilson Werning Law Firm Contacted by Victims of Alleged Ponzi Scheme Run by Former Pennsylvania Stockbroker Patricia S. Miller
- Meyer Wilson Werning Representing Investor Victims in Madison Timber Ponzi Scheme
- Meyer Wilson Werning 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
- Nanban Ventures Accused of $130M Ponzi Scheme Targeting Indian Americans
- 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
- Rathnakishore Giri Sentenced to Nine Years in Federal Prison for $10 Million Cryptocurrency Ponzi Scheme
- Robert Dunlap Sentenced to 23 Years for Meta-1 Coin Cryptocurrency Fraud
- 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 First Liberty Building & Loan and Edwin Brant Frost IV in $140 Million Ponzi Scheme
- SEC Charges Nathan Fuller in Alleged $12.3 Million AI Crypto Trading Bot Fraud 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
- Stanley Pophal Charged with $15 Million Wire Fraud and Money Laundering 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
- Todd Burkhalter’s Guilty Plea in an Alleged Real Estate Ponzi Scheme: What Investors Need to Know
- Tucson Resident Charged With Ponzi Scheme, Fraud Allegations
- Understanding the MJ Capital Ponzi Scheme and Rising Tide Payouts
- Unregistered Broker Fraud May Be on the Rise, Reports USA Today
- Update: Ohio Law Firm of Meyer Wilson Werning 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
- American Healthcare REIT Liquidation Sparks Investor Concerns and Losses
- Berthel Fisher Hit With FINRA Penalty Over ETF Supervision Lapses
- Bluerock Real Estate Fund Losses
- Can I Recover Losses from Former Madison Avenue Securities, LLC Broker Robert Fagan?
- 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?
- Inland Real Estate Income Trust: Investment Losses
- Investment Scams In 2020 You Could Be Targeted By
- JER Real Estate Faces Bankruptcy After $1 Billion Loss in Securities
- Lightstone REIT Liquidation: Lawsuits, Governance Risks, and Recovery Options
- 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 Werning 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
- Pacific Oak Strategic Opportunity REIT Losses
- RAD Diversified REIT 2026 update: SEC Charges and Bankruptcy
- RAD Diversified REIT Operators Face Ponzi Scheme Allegations
- RAD Diversified REIT Update: Investor Concerns and Legal Options
- Revised NASAA REIT Guidelines Impacting Investors in 2026
- Roger William Bowlin Disclosures and Real Estate Security Losses
- SEC Charges Phoenix American Hospitality Over $86 Million Hotel Fund Fraud
- SILA Realty Trust: Unraveling Investment Risks and NAV Challenges
- Silver Star REIT Losses: Navigating Investor Recovery Options
- Top 8 Risks of Delaware Statutory Trusts
- USQ Core Real Estate Interval Fund Liquidation and How to Recover Your Losses
- 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
- A New SEC Fraud Team Is Good News, With One Major Catch
- 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
- Cetera Investment Services Fined $1.1 Million Over Alleged AML and Supervision Lapses
- 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
- FBI and International Partners Arrest 276 in Coordinated Crackdown on Crypto Scam Centers
- Federal Court Orders Ross Gregory Erskine to Pay $176,075 in SEC’s LFS Funding Limited Partnership Fraud Case
- 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?
- James Blake Daughtry Permanently Barred by SEC After Alleged Fiduciary Breaches Tied to GraySail Advisors
- Jerry Cicolani and Kelly Hood Submit Offer of Settlement of SEC Charges
- Julie Darrah SEC Case Reveals $2M Elder Financial Abuse Scheme
- Major Blow to Transparency Efforts of SEC Oversight of FINRA Arbitration
- Marat Likhtenstein SEC Fraud Charges and Osaic Wealth Investor Recovery Options
- 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
- NanoBit Crypto Fraud: SEC Wins Landmark Pig Butchering Case
- 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
- RAD Diversified REIT 2026 update: SEC Charges and Bankruptcy
- Rathnakishore Giri Sentenced to Nine Years in Federal Prison for $10 Million Cryptocurrency Ponzi Scheme
- Rhode Island Quasi-Public Agency and Wells Fargo Charged With Fraud by SEC
- Robinhood Fined $45 Million by the SEC for Compliance and Cybersecurity Failures
- 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 First Liberty Building & Loan and Edwin Brant Frost IV in $140 Million Ponzi Scheme
- SEC Charges Nathan Fuller in Alleged $12.3 Million AI Crypto Trading Bot Fraud Scheme
- SEC Charges Phoenix American Hospitality Over $86 Million Hotel Fund Fraud
- SEC Charges Reign Financial and Berone Capital Over $26 Million High-Yield Investment Program Fraud
- 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 Closes the Books on Joseph Geromini, but Defrauded Investors May Still Have a Case
- SEC Concludes Spartan Trading Offering Fraud Case: What Impacted Investors Need to Know
- SEC Files Pyramid Scheme Charges Against Internet Marketing Company Eadgear Inc.
- SEC Fines Merrill Lynch $7.5 Million for Suspicious Activity Reporting Failures
- SEC Investor Alert: the Risks of Investing in Marijuana-related Companies
- SEC Issues $393 Million in Fines for Off-Channel Messaging Violations
- 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 Ozy Media Litigation: Understanding the Fraud Allegations and Final Judgments
- 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 Recordkeeping Enforcement: $63M Fine Hits 12 Firms
- 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
- SpaceX Pre-IPO Scams: How Fraudsters Are Exploiting the Biggest IPO in History
- 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 GameOn Indictment and the Risks of Bay Area Investment Fraud
- The SEC Cracks Down on Penny-Stock Fraud
- The SEC Indicts Former Nomura Traders With Fraud, Meyer Wilson Werning Investigating
- The SEC Just Released an Investor Bulletin Explaining the FINRA Arbitration Processes Involved in a Dispute With Your Stockbroker
- The Supreme Court Just Settled a Debate About Fraud Recovery That Has Divided Courts for Years
- U.S. Sanctions Prince Group Over Pig Butchering and Crypto Fraud
- UBS Charged With Supervisory Failures by the SEC
- Unpaid $1.4 Million Arbitration Award and Indefinite Suspensions Target Advisor James McArthur
- Virtus Investment Advisers Accused of Advertising False Performance Claims
- Wells Fargo Slapped with $3M Fine for Trading Misconduct
- Western Asset Management Fined $100M Over Cherry-Picking Allegations
- Whistleblower Receives Over $5 Million in SEC Award
Category: Securities Arbitration
- American Healthcare REIT Liquidation Sparks Investor Concerns and Losses
- Anthony Jovanovich Faces Allegations of Misrepresentation at Wintrust Investments
- Arizona Brokers, Jeffrey Stebbins and Corbin Jones, Charged With Investment Fraud
- Broker James Edward Lyons Accused of Unauthorized Trading
- Can You Sue the Broker Who Recommended a Fraudulent Investment?
- Choosing the Right Arbitrator for Cryptocurrency Arbitration
- Chris Kazan Faces $1.5 Million Investor Complaint Over Unsuitable Private Placements
- 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
- Deepfakes, voice cloning and weaponised AI: Global wake-up call to organised fraud
- 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
- Genevieve Mar Investor Complaints: Allegations, Awards, and Recovery Options
- How to Recover iCap Equity Losses After Ponzi Scheme Ruling
- J.P. Morgan Securities Ordered to Pay $485,000 to Clients
- Juan Hua Liang Faces $1M FINRA Claim Over GWG Bond Sales
- Major Blow to Transparency Efforts of SEC Oversight of FINRA Arbitration
- Meyer Wilson Werning Wins Full Rescission Against Tigress Financial
- Moloney Securities Regulatory Inquiries and Investor Complaints Explained
- Morgan Keegan Ordered to Pay Punitive Damages in Madoff Feeder Fund Case
- New List of Top Investor Threats Released
- Purshe Kaplan Sterling Broker Salvadore Salvo Faces Over 1 Million Dollars in Pending Investor Claims
- Robert Lybbert Investor Alert: Hedge Fund Losses, Case Filings, and Recovery Options
- Sam Bhushan and Cabin Securities Face Multi-Million Dollar Investor Claims
- SEC Ozy Media Litigation: Understanding the Fraud Allegations and Final Judgments
- Structured Note Losses: Your Guide to Recovery of Investment Losses
- 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”
- Timothy Vanlohuizen Linked To SagePoint Financial Investor Complaint Concerning Unsuitable Advice
- UBS Financial Services Ordered to Pay $92.2 Million in Arbitration
- Understanding Arbitration Costs in Crypto Exchange Cases
- What Your Broker Should Be Doing to Prevent Overconcentration
- Wife Is Liable to Victims After Ponzi-Schemer Husband Commits Suicide
- Will Olinger has a Million Dollar Complaint Over Celebration Pointe Investment Losses
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
- AI Investment Fraud and Algorithmic Trading Scams Targeting San Francisco Engineers
- 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
- Atlas Growth Partners Investors Risk Losing Up to 99% of Principal
- 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 Werning 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
- Canaccord Genuity Hit With Record $80 Million Penalty for Anti-Money Laundering Failures: What Investors Need to Know
- Caz Craffy Sentenced for Fraud Targeting Military Families in $9.9M Scheme
- 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
- Craig Allen Sentenced in Atlanta Securities Fraud Lawsuit Involving The Cheetah Fund
- 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
- 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
- Federal Court Orders Ross Gregory Erskine to Pay $176,075 in SEC’s LFS Funding Limited Partnership Fraud Case
- 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 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 Social Media Scammers and Pump Groups Target Los Angeles Investors
- 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
- Invested in Anduril Through Sestante Capital? Here’s What You Need to Know
- 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
- IRL Social Media Faces $170 Million Fraud Allegations Amid Shutdown
- 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 Blake Daughtry Permanently Barred by SEC After Alleged Fiduciary Breaches Tied to GraySail Advisors
- 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
- Lightstone REIT Liquidation: Lawsuits, Governance Risks, and Recovery Options
- 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 Werning Attorney Courtney Werning Helps Couple Recover $100k in Losses
- Meyer Wilson Werning Investigates Accusations Involving Broker Marc W. Evans
- Meyer Wilson Werning Investigates Allegations Against the LJM Preservation and Growth Fund
- Meyer Wilson Werning Investigates Broker Thomas Riquier for Allegations of Defrauding Investors
- Meyer Wilson Werning Investigates Claims of Broker Misconduct against Samuel Rankin
- Meyer Wilson Werning Investigates Former Morgan Stanley Broker David Olson Regarding Allegations of Engaging in Undisclosed Outside Business Activities
- Meyer Wilson Werning Investigates Former Morgan Stanley Broker Thomas Meier
- Meyer Wilson Werning Investigates Former Morgan Stanley Broker Timothy Gibbons for Allegations of Unsuitable Recommendations to Elderly Clients
- Meyer Wilson Werning Investigates Former Nylife Securities Llc Broker Alan New for Selling Clients Woodbridge Mortgage Investment Fund
- Meyer Wilson Werning Investigates Unsuitable Investments Claims against Broker Kevin C. Butler
- Meyer Wilson Werning Investigates Wunderlich Securities, Inc. Financial Advisor Jack Mcbride for Alleged Unauthorized and Unsuitable Transactions
- Meyer Wilson Werning Investigating Annuity Fraud Claims Against Broker Roger S. Zullo
- Meyer Wilson Werning Investigating Broker Gregg D. Templeton over Allegations of Misrepresentation and Omissions
- Meyer Wilson Werning Investigating Claims Against Broker Andrew Scheirer
- Meyer Wilson Werning Investigating Claims Against Broker Christopher Bond
- Meyer Wilson Werning Investigating Claims Against Broker Erryn Barkett
- Meyer Wilson Werning Investigating Claims Against Broker Gerald Ohalloran
- Meyer Wilson Werning Investigating Claims Against Broker Howard Brous
- Meyer Wilson Werning Investigating Claims Against Broker Samuel Koltun
- Meyer Wilson Werning Investigating Claims Against Broker Walter Marino
- Meyer Wilson Werning Investigating Claims Against Broker William Harvey
- Meyer Wilson Werning Investigating Claims Against Dean Mustaphalli
- Meyer Wilson Werning Investigating Claims Against Former Broker Barry Connell
- Meyer Wilson Werning Investigating Claims Against Former Broker Jay Gruenebaum
- Meyer Wilson Werning Investigating Claims Against Former Broker Jesse Litvak
- Meyer Wilson Werning Investigating Claims Against Former Broker John Corsi
- Meyer Wilson Werning Investigating Claims against Former Broker Scott Goldman
- Meyer Wilson Werning Investigating Claims Against Former Broker Tye Williams
- Meyer Wilson Werning Investigating Claims Against Oppenheimer Broker Matthew Giannone
- Meyer Wilson Werning Investigating Claims Involving Former Broker Ken Balser
- Meyer Wilson Werning Investigating Former Broker / Advisor Steven Fonda for Unauthorized Trading
- Meyer Wilson Werning Investigating Former Ohio SA Stone Wealth Broker Terminated for Selling Away
- Meyer Wilson Werning Investigating Misrepresentation Claims against Broker Arthur S. Hoffman
- Meyer Wilson Werning Investigating Multiple Stockbroker Fraud Allegations against William Francis Gillis
- Meyer Wilson Werning Investigating Overconcentration Allegations Against Margaret Lech-Loubet
- Meyer Wilson Werning Investigating Potential Investment Loss Claims Involving Alleged Misconduct by Financial Advisor John J. Maloney III
- Meyer Wilson Werning Investigating Potential Investment Misconduct Claims Involving Financial Advisor David Howard Fagenson
- Meyer Wilson Werning Investigating Stockbroker Misconduct Complaints against Broker Hilary Joseph Zimmerman
- Meyer Wilson Werning Is Investigating Aegis Capital Corp. Broker Dominick Diorio Regarding Allegations of Misconduct
- Meyer Wilson Werning Is Investigating Ameriprise Financial Services Broker James Kujawski for Allegations of Misconduct
- Meyer Wilson Werning Is Investigating Broker Scott Palmer Regarding Customer Disputes Alleging Overconcentration
- Meyer Wilson Werning Is Investigating Former Newbridge Securities Corporation Broker Brian Berger for Allegations of Fraud and Other FINRA Rule Violations
- Meyer Wilson Werning Is Representing Investors in Claims Involving Columbus Broker Craig Sutherland
- Meyer Wilson Werning Is Representing Victims Of The Optionsellers.com Catastrophic Loss Event
- Meyer Wilson Werning Launches Forge Securities Investigation, Featured in Business Insider
- Meyer Wilson Werning Law Firm Investigating Alleged Misconduct by Now-Former Merrill Lynch Financial Advisor John M. James
- Meyer Wilson Werning Representing Investors in Annuity Misrepresentation Case
- Meyer Wilson Werning Representing Victims of the Enviro Board Investment Scheme
- Meyer Wilson Werning Securities Attorneys Looking Into Allegations Against Broker Ronald Rothchild
- Meyer Wilson Werning Wins Full Rescission Against Tigress Financial
- Meyer Wilson Werning’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
- Morgan Stanley Fires Advisor Ralph Jackson Amid SEC Investigation
- Nathan Daniel Goad of J. Alden Associates Faces Over $8 Million in Complaints
- 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
- NextGenTech Investments: Inside the Alleged Pre-IPO Fraud
- 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
- Osaic and Securities America Fined by FINRA For Cybersecurity Failures
- Parmjit Parmar Sentenced for Securities Fraud
- 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
- Proving Securities Fraud: Challenges and Strategies in Arbitration
- Raymond James Broker Thomas Whitmeyer O’Brien Is the Subject of a Customer Complaint
- Red Flags to Look Out for From Your Financial Professional
- Religious Affinity Fraud: A Guide to Protecting Your Faith and Finances
- 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
- Scott Mason Sentenced to 97 Months for $17 Million Investment 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 21 in Decade-Long Insider Trading Scheme Tied to Global Law Firms
- 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 John Sterling Myers of Sterling Capital With Fraud, Misappropriation, and Fabricated Returns
- SEC Charges Transamerica Entities $97 Million over Faulty Investment Models
- SEC Considers Allowing Forced Arbitration to Ban Securities Class Actions
- SEC Issues $393 Million in Fines for Off-Channel Messaging Violations
- 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
- Stock Market Today: Margin and Naked Options Strategies Devastate Investors
- Ten-Year Sentence for Man in Sarasota Ponzi Scheme
- Tennessee-Based Broker Thomas Lawrence Faces Pending Stockbroker Misconduct Complaint
- The GameOn Indictment and the Risks of Bay Area Investment Fraud
- The Hidden Risks of Dark Pool Trading: What Investors Need to Know About Off-Exchange Fraud
- The SEC Indicts Former Nomura Traders With Fraud, Meyer Wilson Werning Investigating
- The Supreme Court Just Settled a Debate About Fraud Recovery That Has Divided Courts for Years
- 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 Werning Hired by Former Clients of Ohio Stockbroker Christopher Todd Wendel
- VALIC Financial Advisors, Inc. Fined $1.75 Million
- Vibecoding Is Changing How Software Gets Built. It’s Also Creating Legal Liability.
- Vision & Beyond Group LLC Lawsuit Bank Fraud Allegations and Investor Recovery
- Were You Pressured to Invest in Securities You Didn’t Understand?
- What Happens After a Ponzi Scheme?
- What Is Cherry Picking?
- What You Need to Know About Customer Advisory Centers
- What You Need to Know About the Coin Dispute Network Indictment
- 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
- Yieldstreet Investment Lawsuit Reaches $9M Settlement After High-Risk Debt Claims
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
- Aaron Sevigny Facing $2 Million Lawsuit and Investor Allegations at United Planners
- Allegations Involving Former Broker John C. Hanson Investigated by Meyer Wilson Werning
- Andrew Camarda Facing Over 4 Million in Pending Investor Disputes
- Andrew Schell has 20 Disclosures on his BrokerCheck Report
- Antoine Souma: FINRA Bars Ex-J.P. Morgan Broker Over Structured Note Losses
- Are Brokerages and Advisors Doing Enough to Protect Seniors?
- Arif Ahmed Investment Misconduct Allegations
- Atlas Growth Partners Investors Risk Losing Up to 99% of Principal
- Bernard Sandler and His Track Record of Disputes
- Beware of “Happiness Letters” From Your Brokerage Firm
- Bill Tunink Investor Complaints Rise Following LPL Financial Termination
- Billy Aycock Of Cabin Securities Has Settled 16 Times Since 2024
- Blake Lynch of Cetera Advisor Networks Terminated
- Bradley Gardner: FINRA-Barred Broker and Investor Recovery Options
- Brandon Hanna and Creative Planning Face $10 Million Investor Dispute Over Options Losses
- Brian Kennedy: $150K in Complaints for Unsuitable Oil & Gas Investments
- Broker David McMillen of Crown Capital Securities, L.P. Faces Allegations of Misconduct
- Broker Isaiah Williams Arrested for $2.59 Million Misappropriation from Former Dolphins Player
- Broker Ismail Elmas Pleads Guilty to Wire Fraud
- Broker William Seibert of Raymond James & Associates, Inc. Accused of Unsuitable Investments
- Bryce Hamilton Exits LPL Financial Amid Investor Complaints
- California Man Steals $300,000 From Bay Area Investors
- Can I Recover Losses from Former Madison Avenue Securities, LLC Broker Robert Fagan?
- Can My Broker or Financial Advisor Trade in My Account Without My Permission?
- Carmen Morrone Faces $1 Million Investor Complaint Over DST Investment Losses
- Chris Kazan Faces $1.5 Million Investor Complaint Over Unsuitable Private Placements
- Chuck Roberts with Stifel Boca Raton: Risky Investments and Client Disputes Exposed
- Clients File Complaints Against Financial Advisor Robert Melberth
- Curtis Wilson: Former Securities America Broker Faces Multiple Complaints
- Dan Goodwin Faces Investor Disputes Over Allegations of Unsuitable Recommendations
- 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 You Lose Money with Zachary Taylor? Investigation Into Former Oppenheimer Broker
- Did Your Broker Engage in Unsuitable Options Trading on Your Behalf?
- Dimitrios Michelis and UBS Financial Services Face $5.8 Million in Customer Claims Over Alleged REIT Misconduct
- Edward Fernandez Customer Complaints and Capulent LLC Investment Loss Investigations
- Emerson Equity’s George Wallace Smith Named in 11 FINRA Disputes Totaling $14.5M
- Eric Kleiner FINRA Bar and $400,000 Morgan Stanley Investor Dispute
- 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 Werning Investigates
- Former Broker Gerald Cocuzzo Pleads Guilty to Securities Fraud
- Former Huntington Investment Company Broker Eric Coombs Resigns After Internal Review
- Former Morgan Stanley Advisor Darryl Cohen Barred: Allegations of Wire Fraud and Unauthorized Transfers
- Fort Wayne Broker Charged With 7 Counts of Securities Fraud
- Fred Chen Faces $500K Damages Claim Over Securities Violations
- Genevieve Mar Investor Complaints: Allegations, Awards, and Recovery Options
- Government Research Shows Broker Misconduct Costing Investors Up to $17 Billion a Year
- Gregory Gaston Gibson’s Troubling History
- Henry Duval’s Long History of Customer Disputes
- Houston Broker Eduardo Leon Jr. Suspended Twice Following $750k Loan and High-Risk Bond Claims
- How Investors Can Protect Themselves From Broker Fraud and Broker Bankruptcy
- How Unit Investment Trusts Affect You
- Howard Kavinsky Barred After His $760K Allegation
- Investigating Broker James Mariani and Claims of Unsuitable Investment Recommendations
- Investigating Jason Price Lamb: Nashville Advisor Facing Over $1 Million in Claimed Losses
- Investigating Potential Claims Against Jeffrey T. Kennedy of Center Street Securities
- Investigation Into Emerson Equity Broker James John Raia Following $940,000 Investor Claim
- Investors File Claim Against Brokerage Principal for $4.1 Million in Losses
- Is Your Broker Lining His Pockets with Your Retirement Money?
- Is Your Investment Safe? Investigation Into Osaic Wealth Advisor Betsy Lou Whipple
- Jack Thacker Of Realta Equities Unsuitable Investment Allegations
- James Flynn Customers Complain About Real Estate and Annuity Investments
- Javier Martin-Riva: $20 Million Complaint Rocks Bulltick Wealth Management
- Jeffrey Higgins: FINRA-Barred Broker Accused of Fund Misappropriation
- JER Real Estate Faces Bankruptcy After $1 Billion Loss in Securities
- John Anthony Nole BrokerCheck Disclosures and GWG L Bond Disputes
- John Cangialosi Jr. Barred for Ignoring Investigation Inquiry
- John Fagan Barred by FINRA: What’s Coming Next
- John Francis Schlagheck: Five Complaints in 2024 and a FINRA Suspension
- John Mateyko of PeachCap Securities Complaints
- John Nicholas Matson Has Been Barred by FINRA and the SEC
- Jon Cirelli: Reported Investor Complaints and Allegations of Misconduct
- Julie Darrah Sentenced to 121 Months in Prison
- Karen Schmidt: Northwestern Mutual Advisor Faces Unsuitable Policy Allegations
- Keith D’Agostino Update: New Regulatory Sanctions and 2025 Investor Disputes
- Keith Dagostino: Broker Facing Unsuitable Investment Allegations
- Keith Moore of Boustead Securities Faces Lack of Supervision Claims
- Kelly Johnston: $25M Fraud Claim Rocks Fidelity Brokerage
- Kestra Investment Services Broker Markus Byrd Racked Up $4.27 Million in Settlements.
- 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
- Lost Money With a California Broker? Here Is What to Do Before the Deadline
- LPL Financial Fires Broker David Taddeo
- Luis Jean Bart: PFS Investments Problems
- Madison Avenue Securities Advisor Jim Geake the Subject of Multiple Customer Complaints
- Marc Frederick Korsch Regulatory and Customer Dispute Disclosures
- Mark Joseph Boucher Stole $2.2 Million in Decade-Long Client Fraud
- 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 Werning Attorneys Investigate Allegations Involving Former Stockbroker Derek Weaver
- Meyer Wilson Werning Attorneys Investigate Allegations Involving Greg Campbell
- Meyer Wilson Werning Investigates Cincinnati Broker Matthew Roger Quinn
- Meyer Wilson Werning Investigates Misconduct Allegations of Former LPL Financial Broker Thomas H. Caniford of North Canton, Ohio
- Meyer Wilson Werning Investigating Claims Against Former Broker Mark Speakman
- Meyer Wilson Werning Investigating Claims Against Oppenheimer Broker Matthew Giannone
- Meyer Wilson Werning Investigating Potential Legal Claims Against Worden Capital Management Relating to Excessive and Unsuitable Trading by Stockbroker John Lopinto
- Meyer Wilson Werning Law Firm Investigating Claims Involving Former Stockbroker Barkley J. Lundy, Jr.
- Meyer Wilson Werning Law Firm Investigating Claims Involving Stockbroker Kirsten Flynn Hawkins
- Micah Rayner: Florida Broker Faces $2M Investment Disputes
- Michael Clifford Graham LPL Financial Discharge and Fraud Allegations
- Michael Corrada: Allegations of Financial Misconduct
- Michael Lickiss Faces $11 Million Fraud Allegation Among Other Investigations
- Michael Magruder Barred by FINRA After Customer Loan Allegations and Settlements
- Michael Magruder: Financial Advisor’s Costly Loan Scandal
- Michael Persinski Embroiled in $56M Investor Claim Case
- Michael Shatsky: Sky Alpha Adviser Faces $788K Investor Complaint
- Michael Siek of Aegis Capital is the Subject of Complaints
- Moloney Securities Regulatory Inquiries and Investor Complaints Explained
- Morgan Stanley Fires Advisor Ralph Jackson Amid SEC Investigation
- 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
- Northstar Financial Collapse Causes Devastating Consequences for Investors
- Nouachi Vang Fraud Allegations and LPL Financial Investor Recovery Options
- Oppenheimer & Co. Inc Advisor Matthew Steinberg Facing $2.5M Dispute
- Osaic Settles $17.2 Million Claims Involving Jim Walesa
- Patrick Capital Markets Investigated for Conservation Easement Losses
- Patrick Roland Hobert: Controversial Stockbroker Faces Investor Claims
- Pawan Passi: Morgan Stanley Broker Barred Following Block Trading Allegations
- Peter David Maller and Osaic Wealth Under Investigation for Unsuitable Investment Recommendations
- Private Placement Investments in the Hot Seat
- Purshe Kaplan Sterling Broker Salvadore Salvo Faces Over 1 Million Dollars in Pending Investor Claims
- Randall Duggan Of Moloney Securities Investigated For Unsuitable Advice In GWG Securities
- Ray Don Gallette’s Client Allegations at Coastal Equities
- Recent Stock Market Losses May Reveal Unsuitable Investments in Your Portfolio
- Richard McFarland Jr’s Alleged Misconduct Causes Losses
- Rita Mansour: Toledo Advisor Faces $150K Investor Complaint
- Robert Lybbert Investor Alert: Hedge Fund Losses, Case Filings, and Recovery Options
- Robert Scott Smith Emerson Equity LLC Investor Lawsuit Investigation
- Robert Steven Meyer Permanently Barred by FINRA
- Roger Roemmich Facing Over $16M in Allegations
- Roger William Bowlin Disclosures and Real Estate Security Losses
- Ryan Caldwell: $1.2M Lawsuit Exposes Morgan Stanley Unauthorized Trading
- Sam Bhushan and Cabin Securities Face Multi-Million Dollar Investor Claims
- Scott Taubman: Alleged Misconduct and Investor Implications
- Sean Righter: A History of Disputes and Ongoing Concerns
- SEC Accuses Former Michigan Broker Lewis J. Hunter of Fraud
- SEC Accuses Koch Asset Management and Founder Donald Koch of Investment Fraud
- SEC Verdict Finds Jeffrey Cutter Used Undisclosed Commissions
- 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
- Stephen Swensen and His Multiple Investor Disputes
- Steven McCormick Barred: Woodbury Financial Advisor Faces FINRA Action
- Stifel Nicolaus Broker Dave Stone Faces Seven Figure Investor Disputes Alleging Fraud
- Stifel Nicolaus Faces $132.5 Million Arbitration Award Tied to Chuck Roberts
- Study Reveals 90 Percent of Expungements Are Granted in Stockbroker Arbitration Cases
- T. Sloan Thompson: 12 Complaints in 6 Months
- The Hidden Risks of Dark Pool Trading: What Investors Need to Know About Off-Exchange Fraud
- Timothy Vanlohuizen Linked To SagePoint Financial Investor Complaint Concerning Unsuitable Advice
- Tips to Protect Your Elderly Loved Ones from Financial Exploitation
- Tony Barouti: Massive Amount of Investor Disputes Allege $1.3M in Damages
- Travis J. Lippmann Faces $607,052 Damages Claim and Multiple Customer Disputes
- UBS Advisor Manuel Melendez Barred After Allegations of Borrowing Client Funds
- UBS Financial Services Ordered to Pay $92.2 Million in Arbitration
- Unpaid $1.4 Million Arbitration Award and Indefinite Suspensions Target Advisor James McArthur
- USQ Core Real Estate Interval Fund Liquidation and How to Recover Your Losses
- Victor M Torres Facing One Million Dollar Arbitration for VUL Misrepresentation
- Vincent Camarda: Allegations of Broker Misconduct
- 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
- Will Olinger has a Million Dollar Complaint Over Celebration Pointe Investment Losses
- William Harvey Case: Navigating FINRA Rules and Investor Solutions
- William Meador Investor Dispute: $1M Misconduct Allegations
- William Shopoff of Shopoff Securities Has Settled for $42M
- Woodstock Financial Advisor Patrick Louise Faces $2M Suit Over Unsuitable Annuities
- Yilun “Tom” Liu Under Scrutiny Over Risky Options Trading and Structured Notes
Category: Stockbroker Misrepresentation
- Anthony Jovanovich Faces Allegations of Misrepresentation at Wintrust Investments
- Did You Overpay for Mortgage Bonds?
- Emerson Equity’s George Wallace Smith Named in 11 FINRA Disputes Totaling $14.5M
- GWG L Bonds: Did you suffer losses after investing with Anthony John Pitta or Another Broker?
- John Francis Schlagheck: Five Complaints in 2024 and a FINRA Suspension
- John Mateyko of PeachCap Securities Complaints
- Kestra Investment Services Broker Markus Byrd Racked Up $4.27 Million in Settlements.
- Mark Joseph Boucher Stole $2.2 Million in Decade-Long Client Fraud
- 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
- Michael Corrada: Allegations of Financial Misconduct
- Nathan Daniel Goad of J. Alden Associates Faces Over $8 Million in Complaints
- Navigating Losses with Meyer Wilson Werning: The Michael Archimede Case
- Pawan Passi: Morgan Stanley Broker Barred Following Block Trading Allegations
- Rajesh Markan Faces $1.8M in Customer Disputes After FINRA Bar
- Shocking Allegations: Angelo Talebi Faces 41 Customer Complaints
- Vincent Camarda: Allegations of Broker Misconduct
- Wall Street May Be Chaotic, but That Doesn’t Mean Your Investments Should Be Too
Category: Testimonials
Category: Uncategorized
- Boiler Room Scams: A High-Pressure Stock Fraud Tactic
- Brian Kennedy: $150K in Complaints for Unsuitable Oil & Gas Investments
- 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?
- Courtney Werning to Guest Lecture at University of Miami Law School on Fact Investigation
- 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 Werning Investigates Broker Matthew Buchsbaum for Multiple Allegations
- Meyer Wilson Werning Investigates Investment Adviser Jeffrey Lewis Gitterman for Unsuitable Investment Recommendations
- Meyer Wilson Werning Principal Courtney Werning to Guest Lecture at University of Miami Law School
- Meyer Wilson Werning 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 Werning
Category: Variable Annuity Abuses
- Do You Know When to Change Your Variable Annuity?
- Nationwide to Pay $8 Million Over Variable Annuity Failures
- Northstar Financial Collapse Causes Devastating Consequences for Investors
- 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
- Aaron Wagner and Michael Mains Face Superseding Indictment in Utah Restaurant Fraud Case
- Broker Ismail Elmas Pleads Guilty to Wire Fraud
- Caz Craffy Sentenced for Fraud Targeting Military Families in $9.9M Scheme
- David Bradford Pleads Guilty to Drive Planning LLC Ponzi Scheme Fraud
- David Williams Pleads Guilty to $4 Million Real Estate Investment Scam
- Deepfakes, voice cloning and weaponised AI: Global wake-up call to organised fraud
- Federal Authorities Seize $61 Million in Digital Assets Linked to North Carolina Cryptocurrency Scams
- 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
- Giovanni Pennetta Sentencing June 2026: Investor Recovery Options
- Goliath Ventures Founder Christopher Delgado Pleads Guilty to $250 Million Cryptocurrency Fraud
- IRL Social Media Faces $170 Million Fraud Allegations Amid Shutdown
- 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 Werning 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
- Recovering Losses After the 2025 Coinbase Hack and Data Breach
- Scott Mason Sentenced to 97 Months for $17 Million Investment Fraud
- Six Men Indicted in Nevada Over Fraudulent Investments Promoted Through Malom Group
- Stanley Pophal Charged with $15 Million Wire Fraud and Money Laundering Scheme
- U.S. Sanctions Prince Group Over Pig Butchering and Crypto Fraud
- Victor Dandridge Gets Jail Time for Bank and Wire Fraud