by Jeff Pederson | May 24, 2023 | Uncategorized
J.P. Morgan employed Edward Turley as its representative between 2009 and 2021. Approximately a dozen cases have been filed against Turley and J.P. Morgan for Turley’s inappropriate sales practices in the sale of securities. These allegations led J.P. Morgan and...
by Jeff Pederson | May 9, 2023 | Uncategorized
Ron Filoramo is a financial advisor for Morgan Stanley. Filoramo is alleged to have converted the funds of his investors. Please contact us if you are an investor of Mr. Filoramo. Investment firms are required to have supervisory systems. Adequate supervision would...
by Jeff Pederson | May 4, 2023 | Uncategorized
Paul Koch is currently barred from the securities industry. He previously served as a financial adviser (broker) for RBC and UBS. His office and many of his victims were in the Twin Cities area. In an action filed by a former investor of Koch’s, the investor...
by Jeff Pederson | Nov 8, 2021 | Uncategorized
James Seijas, a former Wells Fargo broker who was alleged to be part of part of a crypto Ponzi scheme has now been barred by the Financial Industry Regulatory Authority from associating with any FINRA member firms. If you have suffered such losses, please call...
by Jeff Pederson | Sep 21, 2021 | Uncategorized
David Wells of Fifth Third in the Chicago area has surrendered his license after failing to comply with a regulatory investigation into his actions. If you believe you have suffered losses due to the misdeeds of Wells please call 303-300-5022. Initial consultation...
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