Please Call 312-332-4200 If You Have Investment Losses With John Moy and Merrill Lynch

Stoltmann Law Offices is investigating John Moy, a registered broker with Merrill Lynch in West Palm Beach, Florida. Moy allegedly placed $313,000 of a client couple’s money into high-risk investments that were inappropriate for the clients, based on their ages, net worth and investment objectives. The clients were elderly. He placed many of their investments…

FINRA Bars Scott Sibley For Unsuitable Trades: How Can I Recover My Investments?

You can recover Scott Sibley investment losses by calling our Chicago and Barrington, Illinois-based law firm at 312-332-4200 to speak with an attorney for a no-cost, no-obligation consultation. We sue firms like Raymond James, Sibley’s former firm, in the Financial Industry Regulatory Authority (FINRA) arbitration process on a contingency fee basis, which means we only…

For Investors Who Lost Money With Ann Comcowich of Prudential Investment Management Services

  Did you lose money with Ann Comcowich of Prudential Investment Management Services? If so, the attorneys at Stoltmann Law Offices are interested in speaking with you about your losses. Ms. Comcowich was recently barred from the securities industry after she failed to respond to a Financial Industry Regulatory Authority (FINRA) investigation against her. She…

Kevin Butler; Morgan Stanley; Woodland Hills, California; 91367

Stoltmann Law Offices is investigating Kevin Butler, who has been registered with Morgan Stanley in Woodland Hills, California since 2010. Butler was accused of recommending unsuitable products, recommending unsuitable investments in corporate debt and equity listed products and also recommended unsuitable exchange-traded fund products. He also allegedly committed fraud, misrepresented and omitted material facts, acted…

According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), Dominic DeBruin, a former registered representative with LPL Financial, was under internal review with the firm for depositing client funds which were “related to potential private securities transactions undisclosed to the Firm,” into a bank account DeBruin…

FINRA Fines Prudential Annuities $950,000

The Financial Industry Regulatory Authority (FINRA) fined Prudential Annuities Distributors, Inc. $950,000 for failing to detect and prevent a scheme that resulted in the theft of $1.3 million from an 89-year-old customer’s variable annuity account. FINRA alleged that Prudential Annuities failed to safeguard customers from a former registered sales assistant at LPL Financial, Travis Wetzel.…

Dennis H. Cambal; JHS Capital

Stoltmann Law Offices is investigating Dennis H. Cambal, a former registered representative with JHS Capital. According to the Financial Industry Regulatory Authority (FINRA), Cambal has been accused of making excessive trades, failing to follow customer instructions, making unsuitable investment recommendations and effecting unauthorized trades while registered with several broker-dealers since 1983. Massachusetts regulators determined that…