For Investors Who May Have Losses With Beverly Hills Wealth Management and Broker Margaret Black

Stoltmann Law Offices is interested in speaking to those investors who may have suffered losses with Beverly Hills Wealth Management (BHWM) broker Margaret Mulligan Black (aka Margaret Mulligan Scott). Ms. Black recently entered into a cease-and-desist order with the Securities and Exchange Commission (SEC). The cease-and-desist order claims that Black withheld prepaid, unearned advisory fees…

Jorey Bernstein; Western International Securities; Pasadena, California

Stoltmann Law Offices is investigating former Western International Securities broker Jorey Bernstein. A customer alleged that Mr. Bernstein participated in illegal interactions and outside business activities with a third party. This can create conflict of interest within the firm. Another customer alleged that Bernstein excessively traded his account and requested damages of $3,000,000. The dispute…

Kelly Barnett Used Discretion in the Accounts of Five Customers

According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), MSI Financial Services broker Kelly Barnett allegedly used discretion in the accounts of five customers without written authorization or acceptance of the accounts as discretionary. Kelly Barnett also allegedly falsified notes of client contact. Barnett allegedly authorized…

Morgan Stanley Broker Kenneth Mathieson Suspended and Fined by FINRA

According to a Decision heard before the Financial Industry Regulatory Authority (FINRA), former Morgan Stanley broker Kenneth Mathieson was suspended for one year in all capacities and fined $50,000 for participating in private securities transactions and engaging in outside business activities without prior written notice to, and permission from, Morgan Stanley. FINRA also found that…

Heather VanLandingham; Morgan Stanley; Palm Harbor, Florida

According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), Heather VanLandingham, a former Morgan Stanley representative, has been accused of violating securities laws and internal firm rules. Allegedly, in January 2016, while associated with Morgan Stanley, VanLandingham effected transactions in a firm customer’s account without the…