by Jeff Pederson | May 3, 2017 | Uncategorized
Jeffrey Pederson PC is investigating and interested in speaking to investors of William H. McWilliams, formerly of Raymond James and currently of Stifel Nicolaus. This is in wake of a regulatory AWC entered into by William McWilliams with FINRA that alleges...
by Jeff Pederson | Apr 17, 2017 | Uncategorized
Anne Marie Comcowich, a Scranton, Pennsylvania area securities broker, has agreed to a sanction to resolve a FINRA investigation. The underlying investigation concerned the unauthorized withdraw of funds, theft, from investor accounts. Ms. Comcowich was previously...
by Jeff Pederson | Feb 24, 2017 | Uncategorized
On February 21, 2017, he Securities and Exchange Commission charged William P. Carlson, Jr., a Deerfield, IL investment advisor with misappropriating more than $900,000 from a client’s account through more than 40 unauthorized transactions. Deerfield is in the...
by Jeff Pederson | Feb 16, 2017 | Uncategorized
Please call for a free consultation with an attorney if you suffered losses First Financial Equity Corp., particularly if you suffered losses in ETF or annuity investments. First Financial Equity, a securities brokerage firm headquartered in Scottsdale, Arizona, as...
by Jeff Pederson | Jan 18, 2017 | Uncategorized
The Financial Industry Regulatory Authority (FINRA) announced in January 2017 that it resolved a regulatory action against Dougherty & Company LLC, headquartered in Minneapolis, Minnesota. We believe that this action exposed supervisory problems within...
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