The Law Firm of David Chase is investigating former Boston, Massachusetts based Morgan Stanley (CRD#149777) broker James S Polese (CRD#2636427) concerning allegations of misrepresentation and misappropriation of client funds. According to Polese’s FINRA BrokerCheck report, a customer filed a complaint against Polese in May of 2017 alleging he misrepresented managed account fees from 2015 to...Read More

The Law Firm of David Chase is investing former Ohio based Merrill Lynch (CRD#7691) broker David R. Kondracke (CRD#849161) following a FINRA bar after he failed to respond to FINRA’s request for information, which FINRA deems to be a failure to cooperate. According to FINRA’s BrokerCheck, FINRA permanently barred Kondracke in June of 2017 while...Read More

The Law Firm Of David Chase is investigating Merrill Lynch (CRD#7691) broker Charles D Watson (CRD#4063528) after a customer filed a $1.2 million FINRA arbitration against him alleging unsuitable investment recommendations. According to FINRA’s BrokerCheck report on Watson, a customer filed a FINRA arbitration complaint in June of 2017 against Watson alleging unsuitable investment recommendations...Read More

The Securities and Exchange Commission (SEC) recently brought insider trading charges against the former Chief Executive Officer of a fiber optics company. The SEC Complaint alleges that Peter Chang, founder, CEO and chairman of the board of Alliance Fiber Optic Products utilized secret brokerage accounts in the names of family members (wife and brother) to trade in his company stock...Read More