Ex-NYLIFE Securities Broker Accused Of Selling Investments In Mass Ponzi Scam If you suffered losses after former NYLIFE Securities broker, Kari Bracy, also known as Kari Falwell, or any other registered representative persuaded you to invest in Future Income Payments, please contact Shepherd Smith Edwards and Kantas (SSEK Law Firm)…
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…
FINRA Bars Former Morgan Stanley Representative The Financial Industry Regulatory Authority (FINRA) has barred former Morgan Stanley broker, John Joseph Cahill. The ex-registered representative, who was fired from Janney Montgomery Scott early last year, is accused of potentially converting and/or misappropriating an elderly client’s funds while he was at Morgan…
Many SBLOC Investors Not Apprised of Risks If you are an investor who suffered significant losses from securities-backed line of credits (SBLOCs) and your brokerage firm and their broker neglected to tell you about the risks involved, our investment fraud lawyers at Shepherd Smith Edwards and Kantas (SSEK Law Firm)…
NYPPEX Private Equity Fund Manager Accused Of $13M Investor Fraud Laurence G. Allen, the CEO of New York-based broker-dealer, NYPPEX Holdings LLC, is accused of defrauding investors of over $13M. New York Attorney General, Leticia James, filed a securities fraud lawsuit suing Allen, a private equity manager who is also…
SSEK Investigate Lincoln Investment Planning Broker, Lester Burroughs If Lincoln Investment Planning investment advisor and broker, Lester Burroughs, worked with you as an investor and you suffered financial losses that you suspect may be due to fraud or negligence, please contact our broker fraud lawyers at Shepherd Smith Edwards and…
SSEK Investigate Investment Fraud Claims Made Against 1 Global Capital If you are someone who invested in 1 Global Capital notes at the recommendation of your broker or financial advisor, you may have grounds for filing an investment fraud claim. 1 Global is accused of operating a $322M scam and…