When Broker Misconduct Leads To Tax Return Losses Our Skilled Investor Loss Lawyers Work With CPAs and Investors in Pursuing Financial Recovery Many people don’t realize that investing can impact them tax-wise. For example, if you receive income from your investments, you may have to pay an ordinary income tax…
Investors’ Allegations Against Centaurus Financial Broker Include Unsuitability, Misrepresentations, and Concentration Our experienced Texas broker misconduct attorneys are looking into claims of losses involving current and former customers of William Charles Burks, also known as Bill Burks II, in Flower Mound. Bill Burks is a Centaurus Financial broker who has…
Ex-Alabama Financial Advisor Has Been Accused of Misrepresentations and Unsuitability Our knowledgeable broker misconduct attorneys are investigating claims of losses by customers of ex-Berthel Fisher & Co. registered representative Steve Jeffrey Cummings. In July 2021, claimants filed a Financial Industry Regulatory Authority (FINRA) arbitration claim for $250K in damages. The…
Ex-Wells Fargo Broker Jeremy Fortner Allegedly Borrowed Money From Clients Our broker misconduct lawyers investigate claims of losses involving former customers of ex-Wells Fargo Advisors registered representative Jeremy Fortner. The broker-dealer fired him in August 2021 in the wake of allegations that he inappropriately borrowed funds. In November 2021, with…
Stone Beacon Capital CEO Faces Unsuitability and Negligence Allegations If you suffered investment losses while working with financial advisor Chadwick Charles Collins, please contact our California broker misconduct attorneys at Shepherd Smith Edwards and Kantas (SSEK Law Firm at investorlawyers.com) today at (619) 550-4847. Collins, who was a Kestra Investment…
Senior Citizens Were Among Former Fairfield, NJ Financial Advisor’s Alleged Victims Kenneth Andrews Welsh, an ex-Wells Fargo Clearing Services broker, is now facing Securities and Exchange Commission (SEC) charges accusing him of misappropriating at least $2.86 million from brokerage firm customers and advisory clients. Allegedly the financial advisor used victims’…
Former Wisconsin Financial Advisor is Accused of Defrauding at Least 100 Advisory Clients Michael Francis Shillin, who was barred by the Financial Industry Regulatory Authority (FINRA) and Wisconsin’s Officer of the Commissioner of Insurance (OCI) in January 2021, is now facing Securities and Exchange Commission (SEC) charges. The regulator is…
Pending Customer Disputes Seek Nearly $2.6M in Broker Misconduct Damages If you suffered losses while working with ex-Forta Financial Group stockbroker Gregory Jon Williams, you may want to consider filing a FINRA arbitration claim to pursue damages. Williams, who is named in several pending customer disputes, is no longer a…
Former Melville, NJ Financial Advisor Has Been Named in Six Disputes If you have suffered investment losses while working with ex-Aegis Capital stockbroker Scott Neil Hananel, contact Shepherd Smith Edwards and Kantas (SSEK Law Firm at investorlawyers.com) so that we can help you explore your legal options. Hananel, who is…
COVID Relief Loans Involved Undisclosed Business Outside Their Brokerage Firms According to InvestmentNews, ex-J.P. Morgan Securities broker Gloria Willis, former Merrill Lynch stockbroker Evelyn Batista, and ex-Wells Fargo financial advisor Kenric Sexton have either been barred or suspended from the securities industry. These Financial Industry Regulatory Authority (FINRA) sanctions were…