In July, Edward Jones (CRD#: 250), a large brokerage firm based in St. Louis, MO, fired two of its brokers following allegations of elder financial[…]
Broker/Advisor Investigations
The Financial Industry Regulatory Authority (FINRA) regulates over 600k individual registered representatives, commonly referred to as stockbrokers or financial advisors. In 2017 alone FINRA received over 3,000 complaints from investors. 733 individual brokers were suspended and nearly 500 others were barred from the financial services industry entirely.
As securities fraud attorneys we represent investors who have suffered significant losses because of malpractice, negligence, or even fraud on the part of their investment advisor or stockbroker. We invite you to explore the articles below to get up-to-date information on brokers who we are currently investigating for misconduct. If you see your advisor’s name in the articles below, it’s worth reading about their regulatory history.
If you’ve suffered significant investment losses, click here to understand why it’s critical that you speak with an attorney about your options. When you’re ready, contact our firm for a free, no obligation review of your case.
John C. MacColl (CRD#: 839441) is a former broker and registered investment adviser (RIA). From 2006 to 2018, Mr. Maccoll was employed at UBS Financial[…]
Recently, two former UBS Financial Services brokers, Alex Herrera (CRD#: 3204779) and John Maccoll (CRD#: 839441), have been barred by FINRA. Mr. Herrera, who worked[…]
Patrick Jermaine Phillips (CRD#: 4315963) was previously registered as a broker and investment advisor. In 2016, Mr. Phillips was employed at MSI Financial Services in[…]
Lost Money with 1st Global Capital LLC? Speak with an Attorney Immediately The Sonn Law Group – a nationwide securities fraud law firm representing investors[…]
John Schmidt (CRD#: 708094) is a previously registered broker and investment advisor. From 2006 to 2017, Mr. Schmidt was employed at Wells Fargo Advisors Financial[…]
Michael Barnett (CRD#: 5792242) is a registered FINRA broker and investment advisor. Since 2012, Mr. Barnett has been a securities representative at J.J.B. Hilliard, W.L.[…]
Stephen Hurtuk (CRD#: 848484) is a former FINRA broker and registered investment advisor (RIA). From 2007 to 2017, Mr. Hurtuk was employed in the securities[…]
Larry Werbel (CRD#: 828351) was formerly registered as a FINRA broker and a registered investment advisor (RIA). In 2015 and 2016, Mr. Werbel was associated[…]
Jerry Raines (CRD#: 4578689) was previously registered as a FINRA broker. From August of 2014 to May of 2017, Mr. Raines was employed as a[…]