Securities Fraud and Mismanagement

Attorney and Counselor at Law

303-300-5022 / 844-253-5858 Toll Free

Did the actions/inactions of my broker fall below the required standard of care?

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FINRA Arbitration

NEXT Financial Excessive Trading

On July 13, 2021, NEXT Financial entered into a regulatory settlement for excessive trading.   In the settlement,  the regulator censured, fined $750,000 and required NEXT to certify that it has implemented supervisory systems and procedures reasonably designed to...

John Krohn of Principal

John Krohn of Principal Securities located in West Des Moines, Iowa is accused of illegally “selling away” investments.  If you have suffered losses with Mr. Krohn call 303-300-5022 for a free and confidential initial consultation. Selling away is the...

Gerald Dewes Loss Recovery

If you were an investor of Gerald Dewes, call 303-300-5022 to discuss your legal rights as to loss recovery.  All initial consultations are with an attorney and are free and confidential. Gerald Dewes’ employer, Cadaret,Grant & Co., terminated his employment...

SSL Loss Recovery

If you suffered losses in SSL, Sasol Spon ADR, and were not a speculative investor you may be entitled to loss recovery.  Please call the Law Offices of Jeffrey Pederson at 303-300-5022 for a free and confidential consultation. From its high in April 2019 of over $34...

Attention Dennis Mehringer Investors

If you were an investor with Dennis Mehringer call 303-300-5022 for a free and confidential consultation with a private attorney. On October 18, 2019, the Financial Industry Regulatory Authority (FINRA) barred Mr. Mehringer from the securities industry when he failed...