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Articles Posted in Broker Fraud

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Shepherd Smith Edwards and Kantas Investigates Suspended First Western Securities Broker Kerry Dean Wills

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…

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Shepherd Smith Edwards and Kantas Investigates Barred Mutual of Omaha Broker Edward Matthes

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…

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Merrill Lynch Ordered to Pay $1.7 Million in Puerto Rico Bond Fraud Case Involving Broker Alex Gierbolini

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…

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Shepherd Smith Edwards and Kantas Investigates Ex-First Allied Securities Broker Shlomo Strugano

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…

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SSEK Investigates Broker Fraud Claims Involving SagePoint Financial Broker Timothy Vanlohuizen

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…

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SSEK Investigates Woodbury Financial Broker Daryl Serizawa Over GPB Capital Private Placements

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…

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SSEK Investigates Investment Fraud Claims Involving Rogue Broker Anthony Diaz

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…

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Shepherd Smith Edwards and Kantas Investigate Claims Involving Barred National Planning Broker William Glaser

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…

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Oppenheimer To Pay $3.8M To Customers For Unit Investment Trust Rollover Fees

FINRA Orders Oppenheimer To Pay $3.8M Oppenheimer & Co. (OPY) must pay over $3.8M in restitution to customers who may have had to pay excess sales fees for the early rollovers of their United Investment Trusts (UITs). The order comes from the Financial Industry Regulatory Authority (FINRA) and includes an…

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SSEK Explores Investor Claims Involving Ex-Cetera Advisors Broker Stephen Carver

Former LifeMark Securities Broker Gets Banned By FINRA  If you are an investor who suffered losses while Stephen Carver handled your investments and wish to file an investor claim, our broker misconduct attorneys at Shepherd Smith Edwards and Kantas (SSEK Law Firm) want to talk to you.  Carver, who most…

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