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Investor Rights Blog
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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The Law Firm of David Chase, headed by stock broker fraud lawyer David Chase, is reviewing a customer’s allegations leveled against Dallas, Texas-based Merrill Lynch broker Matthew Ashley. The customer complaint, filed in May 2017, alleges misconduct involving: misrepresentation, unsuitable recommendations, misappropriation of funds and excessive trading, and seeks $5 million in damages.  The complaint...
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The Law Firm of David Chase, headed by stock broker fraud lawyer David Chase, is reviewing a customer’s allegation made against Boston, MA-based Janney Montgomery broker Richard A. Baum concerning the recommendation of an unsuitable, overconcentration of energy securities. Filed in August of 2017, the customer complaint asserts that the improper overconcentration took place over...
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The Law Firm of David Chase is reviewing a customer’s allegations of unsuitability and misrepresentations of material facts made in 2016 against former Frederick, Maryland-based Merrill Lynch broker James Merkel. The complaint, which clams $1 million in damages, is currently pending. In August 2017, Merrill Lynch discharged James Merkel for conduct involving selling away. Selling...
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The Law Firm of David Chase is reviewing multiple customer allegations of misrepresentation, unsuitable recommendations, excessive trading and over concentration made against Coral Gables, Florida-based Morgan Stanley broker David Garcia Cirilo. According to FINRA’s BrokerCheck Report, there are several customer complaints that have been made against David Garcia Cirilo in the last few years, which...
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Stock Broker Fraud Attorney David Chase from David R. Chase, P.A. is reviewing allegations of improper discretionary trading against former Los Angeles, CA-based Morgan Stanley broker Joel D. Davidman following a FINRA enforcement action against him that alleged such misconduct. According to FINRA’s BrokerCheck report, Morgan Stanley terminated Davidman as a result of allegations concerning...
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The Law Firm of David Chase is currently reviewing customer complaints made against former Miami, Florida-based Morgan Stanley broker Edward L Barger that allege misrepresentation, unauthorized trading and unsuitable recommendations. According to FINRA’s BrokerCheck report on Barger, a complaint alleging misrepresentation and unsuitable recommendations relating to equity listed investments was filed in August of 2017,...
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The Law Firm of David Chase is reviewing allegations made against Melville, New York based Wells Fargo broker Alan Rose by multiple clients in complaints claiming unsuitable investment recommendations of Puerto Rico municipal bonds. According to FINRA’s BrokerCheck report on Rose, in May 2015 a customer complaint alleging unsuitability and misrepresentation relating to Puerto Rico...
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Reports of Binary Options and Forex fraud are reaching all-time highs as regulators and government agencies like the U.S Commodity Futures Trading Commission (“CFTC”) continue to receive hundreds of complaints every month. With damages from Binary Options fraud totaling in the millions of dollars in the United States alone, Investors should be extra cautious when...
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