Douglas Keller of AXA Advisors AWC

Douglas E. Keller, a former registered broker with AXA Advisors, allegedly “engaged in a prohibited and unapproved OBA by selling indexed universal life insurance away from the firm after certifying to the contrary.” For this he was terminated from the firm. Allegedly, between January 2016 and April 2017, Keller sold 14 life insurance policies through…

Barry Connell of Morgan Stanley Losses

Stoltmann Law Offices is investigating Barry Connell, a former Morgan Stanley investment advisor who was arrested on January 3rd, 2017 for stealing $5 million in client money. Connell was charged with wire fraud and aggravated identity theft for allegedly defrauding multiple clients out of at least $5 million over five years. Connell allegedly effected numerous…

Todd Ryman; Deutsche Bank

Stoltmann Law Offices is investigating Todd Ryman, a registered broker at Deutsche Bank. Mr. Ryman was accused of making unsuitable investment recommendations, executing unauthorized trades and misrepresenting and omitting material facts. These are all against securities rules and regulations. Mr. Ryman was registered with Bear, Stearns & Co. in New York, New York from August…

Anthony Mastroianni, Jr.; Meyers & Associates

Stoltmann Law Offices is investigating Anthony Mastroianni, Jr., a former registered broker with Meyers & Associates and J.P. Turner & Company. Clients have alleged that Mr. Mastroianni Jr. churned accounts, mishandled accounts, made unsuitable investment recommendations, breached fiduciary duty and contract, and failed to pay outstanding loans from customers. All of these are against securities…