What Did Your Brokerage Firm or Investment Adviser Do Wrong With GWG
Published On: October 3, 2016

According to the Financial Industry Regulatory Authority (FINRA), Joshua Stamm, a former registered representative with Merrill Lynch, is currently under investigation for allegations of misconduct. He is accused of selling away, assisting a client in making credit arrangements outside the firm and sending written correspondence without management review. Selling away is a tactic used by brokers to generate large commissions for themselves and it is against securities rules and regulations. Please call our securities law offices in Chicago if you have suffered losses with Joshua Stamm. We may be able to help you bring a claim against Merrill Lynch for losses. The call is free. 312-332-4200.

Mr. Stamm was registered with Edward Jones in St. Louis, Missouri from August 2002 until November 2004, UBS Financial Services in Lynchburg, Virginia from November 2004 until April 2008 and Merrill Lynch in Lynchburg from March 2008 until July 2016. He has one customer dispute against him and is not licensed within the industry, according to his online FINRA BrokerCheck report.

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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