Scott Muirhead; Merrill Lynch

Stoltmann Law Offices is investigating Scott Muirhead, who was recently barred from the industry by the Financial Industry Regulatory Authority (FINRA). Allegedly, Muirhead engaged in unapproved private securities transactions, also known as “selling away.” This is when a broker offers and sells a security that is not held by his brokerage firm. It is typically…

Steven Orr; H. Beck Inc.

Stoltmann Law Offices is interested in speaking to those individuals who may have invested money with Steven Orr, a registered broker with H. Beck Inc. in Houston, Texas. Orr was accused of making unsuitable investment recommendations and misrepresenting products, including direct participation products (DPPs) and private placements including oil and gas partnerships, non-traded real estate…

Nathan Silva; Ameritas Investment Corp

Stoltmann Law Offices is investigating Nathan Silva, who was barred from the industry by the Financial Industry Regulatory Authority (FINRA). FINRA was investigating him for allegedly commingling customer funds and communicated with customers without approval from Ameritas. This is against securities rules and regulations. Brokerage firms such as Ameritas have a responsibility to adequately supervise…

Update For Investors: KGTA Petroleum, Jeffrey Gainer, Jerry Cicolani, Kelly Hood and PrimeSolutions Securities

Stoltmann Law Offices continues to investigate Akron, Ohio-based KGTA Petroleum. On December 8th, 2014, criminal charges were brought against KGTA’s co-owner and operator, Kenneth A. Grant, who was charged with conspiracy to commit wire fraud and securities fraud and money laundering. The FBI, IRS and the U.S. Attorney’s Cleveland office continue to investigate the company…

Winston Wade Turner; Pruco Securities

Stoltmann Law Offices is investigating Winston Wade Turner, a former broker with Pruco Securities. Turner was barred from the industry permanently by the Financial Industry Regulatory Authority (FINRA). Turner may have engaged in wrongful conduct while registered with the firm. He also allegedly made an unsuitable variable annuity recommendation and provided inaccurate information to the…

Options for Investors to Sue Anthony Diaz

According to a recent InvestmentNews article, Anthony Diaz, a Pennsylvania broker, is under federal indictment for fraudulent sales of illiquid alternative investments. The U.S. Attorney for the Middle District of Pennsylvania filed criminal charges against him for allegedly lying about the suitability of alternative investments to his clients. These unsuitable investments included nontraded real estate…