February 2018-Jacksonville, FL According to publicly available records Melvin E. Case , (CRD# 2393464) , a former stockbroker who last worked for LPL Financial LLC, discloses that he was recently sanctioned by securities regulators…
read moreApril 2018 We are currently reviewing potential claims for investors who suffered losses in LJM Preservation and Growth Fund (LJMIX & LJMCX) securities. Once close to a billion dollars, the…
read moreFebruary 2018-McAllen, TX Cynthia Luna Rodriguez, 45, of Pharr, Texas entered a guilty plea to allegations that she stole more than $1 million from customer accounts at First National Bank…
read moreNovember 2017-Tampa, FL A FINRA arbitration panel comprised by an all public panel of three arbitrators, ordered RBC Capital Markets and broker Bruce Cameron of Norwell, Massachusetts, to pay a former…
read moreNovember 2017 FINRA (The Financial Industry Regulatory Authority) barred stock broker Hank Mark Werner of Northport, New York, for fraudulently churning and excessive trading in the account of a blind,…
read moreDecember 2018-Scottsdale, AZ William J. (“Bill John”) Paynter, Jr., (CRD#2835535) , a stockbroker who is currently employed by Wells Fargo is the subject of a currently pending customer dispute. He discloses the settlement…
read moreFebruary 2019 -Ft. Lauderdale, Florida We have recently submitted a FINRA arbitration claim against Raymond James & Associates on behalf of a retired couple from Ft. Pierce, FL, who are …
read moreAugust 2017 The North American Securities Administrators Association (NASAA) recently released a study showing that financial fraud on the elderly has increased, despite increased awareness and regulatory attempts to protect…
read moreLos Angeles, CA-July 2017 A Financial Industry Regulatory Authority (FINRA) arbitration panel comprised of three public arbitrators ordered Wedbush Securities to pay two former customers (husband and wife) compensatory damages…
read moreMay 16, 2017-Williston, VT The New England Federal Credit Union is holding a seminar on Elder Financial Exploitation on Thursday, May 18th, at their main branch located at 141 Harvest…
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