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David R. Chase P.A.
The Law Firm of David Chase, representing defrauded stock market investors throughout the country, is investigating the Form U-5 statements made by ProEquities, the former employing brokerage firm of stockbroker Michael Patrick McTigue, concerning the circumstances surrounding McTigue’s voluntary resignation from the firm. ProEquities indicated that it had discovered “issues” during a branch inspection of...
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The Law Firm of David Chase, representing defrauded stock market investors nationwide, is reviewing allegations concerning former LPL Financial LLC stockbroker Thomas Breslin Jr. after he was discharged by LPL Financial for directing clients to an unapproved investment in violation of firm policy. The law firm is also reviewing allegations made by the Financial Industry...
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The Law Firm of David Chase, representing defrauded stock market investors nationwide, is reviewing allegations concerning former United Planner’s Financial Services of America stockbroker Jerry Lou Guttman after he was sanctioned by the Financial Industry Regulatory Authority, FINRA, and permanently barred from the securities industry. In or about November 2017, Jerry Lou Guttman consented, without...
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The Law Firm of David Chase, representing defrauded stock market investors nationwide, is reviewing allegations concerning former LPL Financial LLC stockbroker Terrence Diehl after he was discharged by LPL Financial for participating in private securities transactions without approval in violation of firm policy. The law firm is also reviewing allegations made by the Financial Industry...
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The Law Firm of David Chase is reviewing a customer’s arbitration allegations of an unsuitable overconcentration in energy sector limited partnership investments made against Norwell, Massachusetts based RBC Capital Markets broker Bruce T. Cameron.  The customer’s FINRA arbitration case resulted in an award of damages of $688,079.00. Overconcentration is a form of an unsuitable investment...
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The Securities and Exchange Commission recently filed civil charges against a former employee of International Rectifier Corporation (IRC) and his friend for trading on material, nonpublic information in advance of the company’s acquisition. ​The SEC alleges that Lanny Brown knew that Infineon Technologies AG intended to acquire his then-employer, IRC, before the deal was publicly released.  Brown then tipped his friend,...
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The Law Firm of David Chase, headed by stock broker fraud attorney David Chase, is reviewing allegations of serious stock broker misconduct made by multiple former customers of Charlotte, North Caroline-based Northwest Mutual Investment Services broker Sampson Pearson. Many of the customer complaints, some of which have now been paid out and settled, claim that...
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The Law Firm of David Chase is currently reviewing multiple customer allegations of unsuitable investment recommendations, negligence and breach of fiduciary duty that have been made against former Plano, Texas-based VFG Securities stock broker Mark Trewitt. These various customer complaints allege over $3 million in damages. Trewitt is not currently employed by a FIRNA brokerage...
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The Law Firm of David Chase is investigating the circumstances surrounding the suspension and subsequent termination of Aurora, Indiana-based broker Daniel Doogs by Ameriprise Financial, which allegedly involved a violation by Doogs of Ameriprise’s policy relating to borrowing from, and lending money to, customers. Ameriprise Financial, on the Form U-5 of Doogs, stated the following...
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The Law Firm of David Chase is reviewing multiple customer allegations of stock broker misconduct, including unsuitable investments and excessive trading, made against Las Cruces, New Mexico-based Wells Fargo broker Jeffery Wilson. In one arbitration case, a FINRA arbitration panel awarded damages of $357,000 in favor of Wilson’s customer on allegations of unsuitable investments. In...
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