What Did Your Brokerage Firm or Investment Adviser Do Wrong With GWG
Published On: December 13, 2016

Stoltmann Law Offices is investigating John S. Simpson, who was recently barred from the securities industry. He allegedly recommended unsuitable, unauthorized investments and over-concentrated portfolios in oil and gas investments. Oil and gas investments can be especially risky for investors because they tend to be illiquid. If you or someone you know was recommended oil and gas investments by John S. Simpson, you may be able to bring legal recourse against his former firm, RBC, in the Financial Industry Regulatory Authority (FINRA) arbitration forum on a contingency fee basis. Please call today for a free consultation with one of our attorneys. There is no obligation.

Simpson was registered with Painewebber Inc. in Weehawken, New Jersey from November 1980 until July 1992, UBS Painewebber in Weehawken from August 1992 until May 2003, Ferris, Baker Watts in Baltimore, Maryland from May 2003 until March 2009 and RBC Capital Markets in Hunt Valley, Maryland from March 2009 until February 2016. He has six customer disputes against him, one of which is currently pending. He has one criminal disposition against him, according to his online, FINRA BrokerCheck report.

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