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Category: Fraud

Fraud in the Financial Sector

The financial sector is an important part of the nation’s economy. This means when fraud or misconduct occurs within the financial sector, the entire country can be affected financially. Fortunately, the Financial Industry Regulatory Authority (FINRA) provides opportunities to investors like you who may have been defrauded in the financial sector to recover their losses.  […]

Are Stockbroker Mistakes Considered Fraud?

Everyone knows that mistakes happen, but when you have a considerable amount of money on the line, a little mistake can result in substantial losses. Fortunately, the Financial Industry Regulatory Authority (FINRA) provides opportunities for people who have wrongly suffered investment losses to recover them in arbitration.  But your complaint can only be successful if […]

How to Prove Broker Fraud

Being able to prove that your stockbroker has engaged in misconduct is essential if you hope to recover the considerable losses you endured due to their fraudulent handling of your investments.  But, doing so could prove to be a challenge if you don’t know what acts are considered fraud and how to prove it. For […]

Sean Kelly, a former Financial Advisor at Center Street Securities and Capital Financial Services in Marietta

The Wolper Law Firm is currently investigating claims against Sean Kelly, a former Financial Advisor at Center Street Securities and Capital Financial Services in Marietta, Georgia. Sean Kelly has been in the securities industry since 2000 and previously worked at Securities America. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), […]

Former Wells Fargo Financial Advisor, John Schmidt, Barred By FINRA And Currently Has Pending Customer Complaints

The Wolper Law Firm is currently investigating claims against John Schmidt, a former Financial Advisor at Wells Fargo in Dayton, Ohio.  John Schmidt has been in the securities industry since 1980s and previously worked at Stifel Nicolaus. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), o in October 2017, John […]

Former FSG Advisors Broker, Michael Bressman, Terminated By FSG And Now The Subject Of An SEC Action For Fraudulent Charry Picking Scheme

The Wolper Law Firm is currently investigating claims against Michael Bressman, a former Financial Advisor at FSG Advisors in Chatham, NJ.  Michael Bressman has been in the securities industry since 1970s and previously worked at Merrill Lynch. According to publicly available records released by the Securities and Exchange Commission (SEC), on September 24, 2018, the […]

INVESTOR ALERT—Complaints Continue To Roll In Against former UBS Broker, John Maccoll, Who Was Barred By FINRA

The Wolper Law Firm is currently investigating claims against John Maccoll, a former Financial Advisor at UBS Financial Services in Birmingham, Michigan.  John Maccoll has been in the securities industry since the 1970s and previously worked for Morgan Stanley According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on March 29, […]

BREAKING NEWS—SEC Charges Analyst, John Paulsen, With Aiding And Abetting Securities Fraud, By Participating In A “Pay To Play” Scheme

On July 26, 2018, the Securities and Exchange Commission (SEC) filed a complaint against John Paulsen in the District Court for the Southern District of New York.  John Pualsen is a former analyst at a registered broker-dealer headquartered in Alabama.  It is alleged that John Paulsen aided and abetted a pay-to-play scheme involving the New […]

Kimberly Pine Kitts, Previously Barred By FINRA, Now The Subject Of An SEC Complaint

The Wolper Law Firm is currently investigating claims against Kimberly Pine Kitts, a former Financial Advisor at Royal Alliance Associates in Palmer, Maine.  Kimberly Pine Kitts has been in the securities industry since the 1990s and previously worked for ING Financial Partners. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), […]

Mitchell Yanow Barred By FINRA After Allegedly Stealing Money From An 87 Year Old Customer

The Wolper Law Firm is currently investigating claims against Mitchell Yanow, a former Financial Advisor at Stifel Nicolaus & Co. in Boca Raton, FL.  Mitchell Yanow first entered the securities industry in the 1990s and previously worked for Oppenheimer & Co. and Wachovia Securities. According to publicly available records released by the Financial Industry Regulatory […]