Ex-Morgan Stanley Broker Sentenced To 30 Months Please contact Shepherd Smith Edwards and Kantas (SSEK Law Firm) if Elias Herbert Hafen, a former Morgan Stanley (MS) and Wells Fargo (WFC) broker, was your financial representative when you suffered substantial investment losses that you think may be due to fraud. Hafen…
Rogue Broker Convicted & Faces Decades In Prison A jury has convicted Anthony Diaz, a barred rogue stockbroker who was fired by several brokerage firms and has been the subject of more than four dozen customer complaints, of 11 counts of wire fraud and mail fraud. Each criminal court comes…
Stockbroker Accused Of Improperly Borrowing From Older Customer If you suffered investment losses while First Western Securities broker, Kerry Dean Wills was your financial representative, contact Shepherd Smith Edwards and Kantas (SSEK Law Firm). Kerry Dean Wills, who is also a registered investment advisor, was recently suspended for six months…
Edward Matthes, Ex-Stockbroker Accused of Elder Investor Fraud The US Securities and Exchange Commission (SEC) is accusing former broker, Edward Matthes of defrauding older investors of $2.4M. Matthes was a registered stockbroker and an investment advisor. The Financial Industry Regulatory Authority (FINRA) and the Wisconsin Department of Financial Institutions Securities…
Merrill Lynch Fined For Involvement In Puerto Rico Bond Fraud Case In a recent award, a Financial Industry Regulatory Authority (FINRA) arbitration panel has decided that Merrill Lynch must pay a former professional baseball player and his wife $1.7 million in compensatory damages, plus $88,758 in costs, for losses they…
Former First Allied Securities Rep. Accused of Inappropriate REIT Recommendations Our investor lawyers at Shepherd Smith Edwards and Kantas (SSEK Law Firm) are looking into claims by clients of former First Allied Securities stockbroker Shlomo Strugano. Strugano was barred by the Financial Industry Regulatory (FINRA) earlier this month. Strugano, also…
SagePoint Financial Broker Named In Customer Disputes Our investor fraud lawyers at Shepherd Smith Edwards and Kantas (SSEK Law Firm) are looking into claims involving SagePoint Financial broker, Timothy Vanlohuizen. With 37 years in the industry, Vanlohuizen, who is based in Idaho, has been named in six customer disputes. Allegations…
Woodbury Financial Services Representative Accused Of GPB Private Placements Sales If you are an investor who was sold GPB Capital private placements by Woodbury Financial Services broker Daryl Serizawa, our broker fraud lawyers at Shepherd Smith Edwards and Kantas (SSEK Law Firm) want to talk to you. Serizawa is one…
Barred Broker Named In Almost 50 Customer Complaints Anthony Diaz, a former Pennsylvania stockbroker and investment advisor who has been the subject of dozens of customer complaints, is finally on trial for fraud. Jury selection is slated to start this week. Our investor lawyers at Shepherd Smith Edwards and Kantas…
National Planning Ordered to pay $2.6M to Older Investor A Financial Industry Regulatory Authority (FINRA) panel is ordering National Planning Corp. to pay a customer, who is in her eighties, $2.6M after her former stockbroker, William August Glaser, sold her unsuitable investments. The investments including fraudulent promissory notes and non-traded…