What Did Your Brokerage Firm or Investment Adviser Do Wrong With GWG
Published On: October 1, 2017

According to public records with the Financial Industry Regulatory Authority (FINRA), former New Haven, Connecticut-based broker John Campeau was accused of failing to disclose fees associated with managed wrap accounts and of selling all of a customer’s stocks without her knowledge. One of the complaints is currently pending. These are against securities laws and internal firm rules, and Merrill Lynch can be held liable for investment losses with John Campeau. Merrill Lynch had a duty to reasonably supervise him while he was registered there. If they failed to do so, they can be sued in the FINRA arbitration forum on a contingency fee basis, which means we only make money if you recover yours.

John Campeau was previously registered with E.F. Hutton & Company from March 1987 until May 1988, Shearson Lehman Hutton in New York, New York from May 1988 until January 1990, Citigroup in New Haven, Connecticut from January 1990 until June 2008 and UBS in New Haven from May 2008 until December 2017. He is currently registered with Merrill Lynch in New Haven and has been since November 2017. He has two customer disputes against him, one of which is currently pending. This is according to his FINRA BrokerCheck report online.

Disclaimer

The posting on this site are mere OPINIONS and NOT statements of fact in any way whatsoever. The information should not be relied upon and there have been no findings made against the firms or individuals referenced on this site. In addition, this Blog is made available for educational purposes only and incorporates information from the web as well as to give you general information and a general understanding of the law, not to provide specific legal advice. By using this blog site you understand that there is no attorney client relationship between you and Stoltmann Law Offices (161 N Clark Street 16th Floor Chicago, IL 60601). The Blog opinions should not be used as a substitute for competent legal advice from a licensed professional attorney in your state.

PLEASE NOTE THIS IS ADVERTISING AND IT IS NOT A NEWSPAPER ARTICLE OR POST FROM AN INDEPENDENT OR NON-BIASED, NEWS SITE, NEWS SOURCE OR NEWSPAPER.

Chicago Investment Fraud Attorneys Offering Nationwide Representation to Investors

If you have suffered financial losses because of the negligence or fraud of your financial advisor or broker through unsuitable investment recommendations, over-concentration, churning, misrepresenting risks, conversion or selling away, you have legal rights and options to pursue recovery of those losses.

Stoltmann Law Securities Investment Fraud Attorneys