San Francisco Merrill Lynch Advisor Richard Hogan Accused of “Selling Away” But it is Never that Simple

Stoltmann Law Offices is a Chicago-based securities and investment fraud [...]

By Stoltmann Law|July 27, 2022|Merrill Lynch, Selling Away|Comments Off on San Francisco Merrill Lynch Advisor Richard Hogan Accused of “Selling Away” But it is Never that Simple

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Wells Fargo, Merrill Lynch, Oppenheimer, and Stifel Nicolaus Pay Hefty Fines Due to Brokers Excessively Trading UITs

Chicago-based Stoltmann Law Offices is representing investors who’ve suffered losses [...]

By Stoltmann Law|December 22, 2021|Merrill Lynch, UITs, Wells Fargo, Wells Fargo Advisors|Comments Off on Wells Fargo, Merrill Lynch, Oppenheimer, and Stifel Nicolaus Pay Hefty Fines Due to Brokers Excessively Trading UITs

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FINRA Levies Fines in Connection with LJM Preservation and Growth Fund and Investors Have Recovery Options!

Chicago-based Stoltmann Law Offices has represented investors who’ve suffered losses [...]

By Stoltmann Law|April 23, 2021|FINRA, FINRA Arbitration, FINRA Enforcement, Investment Fraud, Investor Alert|Comments Off on FINRA Levies Fines in Connection with LJM Preservation and Growth Fund and Investors Have Recovery Options!

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Beverly Hills, California Merrill Lynch Broker Ryan Raskin Barred by FINRA – Client Legal Options

Chicago-Based Stoltmann Law Offices has been representing California investors before [...]

By Stoltmann Law|January 15, 2021|FINRA, FINRA Arbitration, Merrill Lynch, Unauthorized Trading|Comments Off on Beverly Hills, California Merrill Lynch Broker Ryan Raskin Barred by FINRA – Client Legal Options

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Churning and Burning Investor Accounts by Brokers Is En Vogue in Roiling Covid Stock Market

Chicago-based Stoltmann Law Offices has represented investors who’ve suffered investment [...]

By Stoltmann Law|June 27, 2020|Churning, Churning Fraud, Coronavirus, COVID-19, Excessive Trading, Failure to Supervise, Fiduciary Duty, Fines, FINRA, FINRA Arbitration, FINRA Enforcement, Fraud, Margin|Comments Off on Churning and Burning Investor Accounts by Brokers Is En Vogue in Roiling Covid Stock Market

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Merrill Lynch Broker Linan Abrego Barred by FINRA for Misappropriating Client Money

Stoltmann Law Offices is investigating allegations that Linan Abrego (aka [...]

By Stoltmann Law|November 8, 2019|Conversion, Failure to Supervise, FINRA, Fraud, Merrill Lynch, Theft/conversion|Comments Off on Merrill Lynch Broker Linan Abrego Barred by FINRA for Misappropriating Client Money

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Marcus Parker Barred From Industry

The Financial Industry Regulatory Authority (FINRA) recently barred Marcus D. [...]

By Stoltmann Law|April 26, 2018|Fraud, Investment Fraud, Lawsuit|Comments Off on Marcus Parker Barred From Industry

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Former LPL Broker Laura Shean Barred By FINRA

The Financial Industry Regulatory Authority (FINRA) barred former LPL broker [...]

By Stoltmann Law|April 5, 2018|Fraud, Investment Fraud, Lawsuit|Comments Off on Former LPL Broker Laura Shean Barred By FINRA

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How To Sue Merrill For Chinese Stock Sale

According to a recent InvestmenNews article, Merrill Lynch has reached [...]

By Stoltmann Law|March 12, 2018|Uncategorized|Comments Off on How To Sue Merrill For Chinese Stock Sale

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Pavel Shklyar Former J.P. Morgan Broker Barred by FINRA

According to a recent Letter of Acceptance, Waiver and Consent [...]

By Stoltmann Law|March 1, 2018|Fraud, Investment Fraud, Lawsuit|Comments Off on Pavel Shklyar Former J.P. Morgan Broker Barred by FINRA

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