888-923-9223The Securities Law Firm of Menzer & Hill, P.A. is investigating claims involving Michael Oppenheim of JP Morgan in regards to theft of client funds valuing over $20 Million. If you lost money with Michael Oppenheim of JP Morgan, please call the Securities Law Firm of Menzer & Hill, P.A. at 888-923-9223 to explore your… Read more »
Posts Tagged: failure to supervise
Invest with Dennis K. Karasik?
The Securities Law Firm of Menzer & Hill, P.A. is investigating claims involving Dennis K. Karasik of CKA related to his unlawful sale of bonds. On July 8, 2014, FINRA imposed a bar from association with any FINRA member firm against Karasik in connection with Karasik’s offer and sale of Diversified’s bonds. If you lost… Read more »
Invest with Terry Joe Bagwell?
The Securities Law Firm of Menzer & Hill, P.A. is investigating claims involving Terry Joe Bagwell of Pruco Securities related to his improper supervision of representatives in an ongoing Ponzi Scheme. If you lost money with Terry Joe Bagwell or Pruco Securities , please call the Securities Law Firm of Menzer & Hill, P.A. at 888-923-9223… Read more »
Investment Recovery Options for Investors Who Lost Money with Feltl & Company
The Securities Law Firm of Menzer & Hill, P.A. is investigating investor arbitration claims against Feltl & Company. On December 1, 2014, Feltl & Company entered into a Letter of Acceptance, Waiver, and Consent with the Financial Industry Regulatory Authority (FINRA) after FINRA made allegations against Feltl & Company for violations of securities industry rules. FINRA… Read more »
FINRA Fines Morgan Stanley Smith Barney LLC $5,000,000 for Supervisory Failures Related to Sales of Shares in 83 Initial Public Offerings to Retail Customers
Morgan Stanley settled with FINRA and neither admitted nor denied the charges, but consented to the entry of FINRA’s findings that Morgan Stanley had supervisory failures concerning the solicitations of 83 Initial Public Offerings (IPOs) of stock, including Facebook and Yelp, from February 16, 2012, to May 1, 2013. http://www.finra.org/Newsroom/NewsReleases/2014/P498150 For a free case evaluation or… Read more »
Customer Arbitration Award – Promissory Note Partnership Investment
Carson v. VSR Financial, FINRA ID #11-02400 (Minneapolis, MN, 12/23/2013) – A customer complaining that he received a fractional share of a promissory note when he expected a partnership interest may be equally surprised, but certainly happier, when he recovers $40,000 more in compensatory damages than he requested. For a free case evaluation or to… Read more »
The Securities Law Firm of Menzer & Hill, P.A. Files an Arbitration Claim Against NEXT Financial Group.
The Securities Law Firm of Menzer & Hill, P.A., www.suemyadvisor.com, announced today it filed an arbitration claim against NEXT Financial Group (“NEXT”), for its failure to supervise one of its financial advisors who engaged in unauthorized and excessive trading within an investor’s account. Consistent with the arbitration claim this Firm just filed, the Financial Industry… Read more »